DANIEL ADOLPH CZAPLA

DANIEL ADOLPH CZAPLA is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 100 SPECTRUM CTR DR, IRVINE, CA, 92618.

DANIEL ADOLPH CZAPLA has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 29, 1986

Disclosure History

DANIEL ADOLPH CZAPLA has 2 Disclosure Event(s).

Date: April 03, 2001
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES HIS FINANCIAL ADVISOR CHURNED HIS ACCOUNT.
Damage Amount Requested: $15,000.00
Settlement Amount: $7,625.00
Broker Comment: WE SETTLED THIS MATTER FOR BUSINESS REASONS AND TO AVOID THE COST AND RISK OF LITIGATION.

Date: July 25, 1995
Category: Customer Dispute
Allegations: RECOMMENDATION OF UNSUITABLE INVESTMENTS INFEDERAL NATIONAL MORTGAGE ASSN/GOVERNMENT NATIONAL MORTGAGEASSN BONDS. CLAIMANT REQUESTED $8,899.00 IN ACTUAL DAMAGES.
Damage Amount Requested: $8,899.00 Damages Granted: $2,350.90
Broker Comment: A SINGLE PUBLIC ARBITRATOR, [NASD OFFICER]DETERMINED FULL AND FINAL RESOLUTION OF THE ISSUES BY PAYMENTOF $2,350.90 IN DAMAGES TO CLAIMANT.UPON RECEIPT OF THE NASD'S ARBITRATION DECISIONWE WERE UNCLEAR AS TO WHY [CUSTOMER] WAS AWARDED THE MONEY BY[NASD OFFICER] AND IN A CORRESPONDENCE DATED 8-1-95 TO [NASD REPRESENTATIVE], SENIRO LEGAL ASSISTANT, NASD WE ASKED IF [NASD OFFICER] WOULD PROVIDE US WITH A RATIONALE FOR HIS AWARD. WE NEVERRECEIVED A RESPONSE TO THAT REQUEST.

More Information

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