Michael R. Weissmann: Lawyer with Bingham McCutchen LLP

Michael R. Weissmann

Boston,  MA  U.S.A.

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Experience & Credentials

Practice Areas

  • Broker-Dealer Regulatory
  • Commercial Litigation
  • eDiscovery
  • Financial Institutions Regulatory
  • Enforcement and Litigation
  • Financial Services
  • Investment Management
  • Registered Investment Companies
  • Securities Litigation
  • Securities Enforcement and Investigations
  • Trading and Markets
  • Privacy and Security
  • Data Security
  • Compliance
Contact InfoTelephone: 617.951.8705
Fax: 617.951.8736
University Dartmouth College, Artium Baccalaurei, 1993; Dartmouth College, Bachelor of Engineering, 1994
Law SchoolCornell Law School, Juris Doctor, cum laude, 1998
Admitted1998, Massachusetts; U.S. District Court, District of Massachusetts

•American Bar Association

•Boston Bar Association

•Massachusetts Bar Association


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)


•Co-author, Expungement: Renewed Controversy, More Change, Boston Bar Association Financial Services Section Newsletter(May 14, 2014)

•Co-author, New Suitability Guidance Provides Insight Into FINRA's Areas of Focus and Preferences, Bingham.com(October 2013)

•Co-author, As the Summer Wound Downa FINRA Amended the Publicity Rule (Rule 8313) and Discussed Best Practices in Business Continuity Plans, Bingham.com(September 2013)

•Co-author, FINRA Warns Broker-Dealers About Advertising Retail Brokerage Accounts and Individual Retirement Accounts As Free or No-fee, Bingham.com(July 2013)

•Co-author, FINRA Submits to SEC Consolidated Supervision Rule, Bingham.com(July 2013)

•Co-author, FINRA Issues New Guidance for Broker-Dealer Communications Regarding Real Estate Investments, Bingham.com(May 2013)


Documents by this lawyer on Martindale.com

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FINRA Solicits Comment on Proposed Rule to Implement CARDS
Yevedzo R. Chitiga,Russell M. Fecteau,Michael R. Weissmann, November 10, 2014
FINRA is seeking comments on a proposed rule to implement the Comprehensive Automated Risk Data System (“CARDS”). FINRA published a CARDS concept proposal on December 23, 2013 (the “Concept Proposal”), to which it received approximately 800 comment letters. According to...

Microcap Securities: OCIE Issues Risk Alert Related to Broker-Dealer Controls Regarding Customer Sales
Amy Natterson Kroll,Elizabeth A. Marino,Michael R. Weissmann, November 10, 2014
On October 9, 2014, the Securities and Exchange Commission’s (“Commission”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert reporting on significant deficiencies it found in its sweep of 22 broker-dealers that regularly sell microcap...

FINRA Requests Comments on Revised Proposal to Adopt Rule Mandating Quarterly Delivery of Customer Account Statements
Saia M. Smith,Michael R. Weissmann, October 6, 2014
On September 16, 2014, the Financial Industry Regulatory Authority, Inc. (“FINRA”) requested comments on a revised proposal to adopt a consolidated rule regarding delivery of customer account statements. FINRA Rule 2231 would bring NASD Rule 2340 (Customer Account Statements) and NYSE...

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Office Information

Michael R. Weissmann

One Federal Street
BostonMA 02110


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