Gregg Walter Stupinski, of Stuart, Florida, a registered representative currently registered with Morgan Stanley Smith Barney, is the subject of a customer initiated investment related arbitration claim on May 1, 2017, based upon allegations against Stupinski of his failure to supervise a firm customer’s equity portfolio.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Stupinski has been identified in three more customer initiated investment related disputes pertaining to allegations of his misconduct while associated with Salomon Smith Barney and Citigroup. In particular, on January 15, 2003, a customer filed an investment related written complaint involving Stupinski’s conduct, based upon allegations that he made misrepresentations to the customer concerning a variable annuity product.
Moreover, on February 23, 2005, a customer initiated investment related written complaint concerning Stupinski’s activities was settled for $70,000.00 in damages based upon allegations that he executed transactions without the customer’s consent, and over-concentrated the customer’s assets in sector specific tech stocks. Further, on June 22, 2006, a customer initiated investment related written complaint regarding Stupinski’s activities was resolved for $6,600.00 in damages based upon allegations against Stupinski of misrepresenting the terms and conditions of a variable annuity.
Guiliano Law Group
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