Gregg Brian Weiss, of York, Pennsylvania, a stockbroker registered with Morgan Stanley Smith Barney, was terminated from employment on August 1, 2016, based upon the firm’s allegations that he partook in unauthorized outside business activities, made omissions regarding tax documents, and sought to be repaid for expenses that he did not incur in connection with his business activities.

Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Weiss has been identified in five customer initiated investment related disputes containing allegations of his misconduct while employed with Prudential Securities Incorporated and Raymond James & Associates, Inc. Specifically, on September 22, 1999, a customer filed an investment related written complaint involving Weiss’ conduct, wherein the customer requested $13,000.00 in damages based upon allegations that Weiss made omissions regarding the extent of risk that the customer was exposed to in acting upon Weiss’ investment recommendations.

Further, on July 31, 2009, a customer filed an investment related written complaint involving Weiss’ conduct that was founded upon allegations that Weiss made misrepresentations to the customer concerning a fixed annuity product. Subsequently, on February 7, 2012, a customer initiated investment related arbitration claim concerning Weiss’ conduct was settled for $12,500.00 in damages based upon allegations against Weiss of breach of contract, negligence, breach of fiduciary duty, suitability, and fraud.

Further, on September 12, 2016, a customer filed an investment related written complaint involving Weiss’ activities, wherein the customer requested $20,000.00 in damages based upon allegations that Weiss effected Goldman Sachs corporate debt transactions in the customer’s account that were not authorized. He has additionally become the subject of a customer initiated investment related written complaint on November 29, 2016, in which the customer requested $44,554.00 in damages based upon allegations that Weiss effected unsuitable closed-end funds, equity and debt transactions in the customer’s account.

Since October 21, 2016, Weiss has been associated with Coastal Equities, Inc.

Guiliano Law Group

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