Bruce A. MacKenzie
Partner
Bruce A. MacKenzie is a member of the firm’s financial markets practice group and is chair of the Broker-Dealer/Investment Adviser practice group and co-chair of the Financial Services Regulatory group. Bruce has extensive experience in regulatory and compliance issues affecting financial institutions, the securities industry, and the financial markets.
Representative Transactions
- Advice to broker-dealers and investment advisers on the creation of compliance programs and codes of ethics
- Representation of broker-dealers in adversarial and investigative proceedings before federal, state, and self-regulatory securities authorities
- Counsel to investment adviser / family office organizations
- Advice regarding the formation, organization, registration and exchange membership applications of new broker-dealers
Admissions
Education
- University of Montana School of Law
J.D., 1975, Cum Laude
- St. Olaf College
B.A., 1972
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