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Michael R. Weissmann


As of November 24, 2014 practicing with Morgan, Lewis & Bockius LLP.

Michael Weissmann represents national and regional broker-dealers, investment advisers and registered representatives in customer arbitrations, in court, and in regulatory proceedings and investigations before the SEC, FINRA (and its predecessors NASD and NYSE Regulation), and state regulators. He regularly advises broker-dealers and investment advisers on developing policies and procedures and on compliance with federal and state securities laws and regulations and SRO rules on a variety of topics, including supervision, sales practices, broker and representative registration, introducing/clearing relationships, and record retention.


  • Speaker, Equity Trading, Equity Capital Markets, Enforcement Trends, Research Regulation and More, Bingham McCutchen Roundtable, New York, NY (Feb. 26, 2014)
  • Panelist, New Suitability Guidance Provides Insight Into FINRA's Areas of Focus and Preferences, Thomson Reuters Webinar (Dec. 10, 2013)
  • Speaker, Suitability and Know Your Customer — One Year Later, NSCP 2013 New England Regional Meeting, Boston, Mass. (March 2013)
  • Speaker, FINRA’s Newly Adopted Communications Rules, Bingham Seminar, Boston and New York (October 2012)
  • Speaker, Ethics, Compliance and Risk in Today’s World, NSCP New England Regional Meeting, Boston, Mass. (April 2012)
  • FINRA Operations Professional Registration‚ SIFMA Operations Conference‚ Boca Raton, Fla. (May 2011)
  • Compliance Considerations for Client Communications, SunGard Compliance Summit (April 2010)
  • Emerging Issues Facing Broker-Dealers: Compliance With the Public Communications Rules, Bingham Seminar, Boston (April 2010)



  • American Bar Association
  • Boston Bar Association
  • Massachusetts Bar Association

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