Sandy Michael Galuppo, of New York, New York, a stockbroker registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, was terminated from employment on October 3, 2016, based upon allegations that he furnished expense information to his firm in a manner that “violated the company’s policies.”
Moreover, on April 11, 2017, Financial Industry Regulatory Authority (FINRA) launched an investigation into Galuppo’s activities, where his conduct between 2012 and 2015 has been reviewed for violations of FINRA Rules 4511 and 2010.
What Galuppo did no one offers a clue. However, if you have suffered damages as a result of his conduct, you should consult with a lawyer,
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
