David Neuman
About David Neuman
David Neuman serves as the Senior Investigations Counsel in the Asset Management Unit of the Division of Enforcement at the U.S. Securities and Exchange Commission, a position he has held since 2003. He has a background in law and political science, with experience in supervising investigations and collaborating with various regulatory bodies.
Current Role at U.S. Securities and Exchange Commission
David Neuman serves as Senior Investigations Counsel in the Asset Management Unit of the Division of Enforcement at the U.S. Securities and Exchange Commission (SEC). He has held this position since 2003, contributing to the regulatory oversight of investment advisers and their compliance with securities laws. His role involves conducting investigations and ensuring adherence to legal standards within the asset management sector.
Previous Experience at Fried Frank
Prior to his current role, David Neuman worked as an Associate at Fried Frank from 2000 to 2003. During his three years at the firm, he gained experience in legal practices related to financial services, which laid the foundation for his subsequent work at the SEC.
Educational Background
David Neuman earned a Bachelor of Arts (B.A.) degree in Political Science and Near Eastern Studies from the University of Michigan, where he studied from 1991 to 1995. He later attended The George Washington University Law School, obtaining his Juris Doctor degree from 1996 to 1999. His educational background provides a strong foundation for his legal career in securities regulation.
Publications and Projects
David Neuman has published an internal legal primer focused on soft dollars and the duties of best execution by investment advisers. He also led a multi-year, nationwide risk-based project concerning Form ADV disclosures of registered investment advisers, demonstrating his commitment to enhancing compliance and transparency in the asset management industry.
Collaboration and Supervision Experience
Throughout his career at the SEC, David Neuman has collaborated with various regulatory bodies, including examination staff of the SEC, FINRA, and state and federal prosecutors. He formally supervised four attorneys and their investigations as branch chief from 2008 to 2010, showcasing his leadership and oversight capabilities in legal investigations.