Michael R. Weissmann

Partner

Michael R. Weissmann regularly advises national and regional broker-dealers and investment advisers on compliance with federal and state securities laws and regulations and SRO rules on a variety of topics, including supervision, communications with the public, sales practices, broker status, broker and representative registration, introducing/clearing relationships, social media, cybersecurity, and record retention.  He also represents these firms and their registered representatives and employees in regulatory proceedings and investigations before the SEC, FINRA (and its predecessors NASD and NYSE Regulation), and state regulators, as well as in customer arbitrations, and in court.