Nordsletten, Paul

Bruce H. Newman is a partner in the firm's Securities Department, and a member of the Broker-Dealer Compliance and Regulation and Derivatives and Futures Practice Groups. He joined the fim in 2001.

Mr. Newman has extensive experience in broker-dealer issues, policies and compliance practices. Mr. Newman has previously served as Director of Equities Compliance and Executive Director at UBS Warburg LLC, Director of Capital Markets Compliance at PaineWebber, Inc. and Branch Chief of the Broker-Dealer Enforcement Division of the SEC.

Practice

At UBS Warburg and PaineWebber, Mr. Newman primarily was responsible for designing, implementing and maintaining a comprehensive program to ensure that the firms’ securities businesses operated in compliance with all relevant rules and regulations. He conducted training, provided legal and compliance advice, researched legal issues, wrote policies and procedures and supervised a staff that monitored trading and sales activities. Mr. Newman began his legal career at the SEC as a Staff Attorney in 1991 and served as Branch Chief of the Broker-Dealer Enforcement Division from 1994 to 1996. Before joining UBS Warburg, he was with PaineWebber Inc., serving as Assistant General Counsel from 1996 to 1997 and as Director of Compliance - Capital Markets from 1997 to 2000.

Honors and Awards

• Recognized for his broker-dealer practice in the 2009, 2010 and 2011 editions of Chambers USA: America's Leading Lawyers in Business
• Selected by his peers for inclusion in The Best Lawyers in America in 2008, 2009, 2010, 2011 and 2012 in the area of administrative law