Bruce provides counsel across a broad spectrum of securities enforcement matters, including allegations of misrepresentations, omissions, accounting fraud, stock manipulation, insider trading, deficient policies and procedures, sales practices, supervision and other key issues. His clients include broker-dealers, investment advisors and their associated persons; major public corporations and their officers, directors and key management personnel; and audit partners at “Big Four” public accounting firms.
Bruce served as Director and Chief Counsel in NASD’s Enforcement Department from 2003 to 2004, where he supervised investigations and litigation. He was Chief Counsel of NASD’s Criminal Prosecution Assistance Group from its inception in 1998 until 2003, supervising the unit and assisting federal, state, and local prosecutors nationwide in criminal securities-related investigations and prosecutions. From 1991 to 1998, Bruce was Assistant Chief Litigation Counsel with the SEC. He also served as Special Assistant U.S. Attorney in New York, Florida, and Nevada, and was lead trial counsel for numerous securities fraud prosecutions.
•Crisis Response & Incident Investigation
Served as nationwide counsel for an independent broker-dealer in a series of related regulatory matters, class actions and arbitrations concerning Regulation D offerings and other alternative investments.
Won partial summary judgment and a favorable settlement for the former executive of a public company in litigation against the SEC involving accusations of fraud related to a $1 billion reserve.
Convinced FINRA not to pursue any action against a major broker-dealer in an investigation of equity-indexed annuities.
Awards and Rankings
Named to The Best Lawyers in America in the areas of administrative/regulatory law, securities regulation and litigation - securities law (2007-2018)
Selected for inclusion in Washington, DC, Super Lawyers (2013-2017)
President's Award - NASD (2002)
Member, American Bar Association
Member, Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Society