Investor Alleges Matthew Dupuis Made Misrepresentations

Matthew Dupuis (CRD #: 4818837), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, was the subject of a recent investor dispute, according to his BrokerCheck record, accessed on January 26, 2023. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

On November 13, 2022, an investor alleged that Matthew Dupuis made misrepresentations from March 2021 to October 2022. This dispute was denied by the firm.

Investors should know that firms don’t need to allow an external review before denying a dispute. Investors can still pursue FINRA arbitration and may be able to recoup their losses following a denial.

FINRA Rule 2020

The misrepresentation or omission of information related to investments violates FINRA Rule 2020, which bans the use of manipulation, deception, and other unethical tactics to influence the purchase and sale of securities.

Background Information

Matthew Dupuis has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

Matthew Dupuis is a registered broker in 29 states and the District of Columbia. He is also a registered investment adviser in Maryland, New York, Texas, Virginia, and the District of Columbia.

He has also worked for the following firms:

• Banc of America Investment Services (CRD#:16361)
• Citigroup Global Markets (CRD#:7059)
• Citicorp Investment Services (CRD#:23988)
• M&T Securities (CRD#:17358)
• Legg Mason Wood Walker (CRD#:6555)

Kurta Law Can Help

If you worked with Matthew Dupuis and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.