JOSEPH HAROLD GRONWALD is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1003 BISHOP ST, HONOLULU, HI, 96813.
JOSEPH HAROLD GRONWALD has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 02, 2010
Disclosure History
JOSEPH HAROLD GRONWALD has 3 Disclosure Event(s).
Date: November 02, 2012 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: November 02, 2012 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: December 27, 2004 Category: Customer Dispute Allegations: CLAIMANT ALLEGES UNSUITABLE RECOMMENDATIONS IN CONNECTION WITH HER IRA INVESTMENTS. Damage Amount Requested: $26,000.00 Settlement Amount: $9,999.00 Broker Comment: PLEASE ARCHIVE. ARBITRATION SETTLED FOR LESS THAN $10,000.I REFUTE ALL OF THE CLAIMANT'S ALLEGATIONS DIRECTED BOTH TO UBS FINANCIAL SERVICES AND MYSELF. THE CLIENT HAD LESS THAN $300 IN LOSSES AFTER ONE OF THE WORST MARKET CORRECTIONS IN HISTORY. THE CLIENT WAS AWARE OF HER INVESTMENTS, RECEIVED FREQUENT REVIEWS AND WAS HAPPY WITH HER PORTFOLIO. ONLY AFTER PROMPTING BY AN OUTSIDE PARTY DID SHE SEEK TO HAVE THE ARBITRATION. THE FIRM MADE A BUSINESS DECISION TO SETTLE WITH THE CLIENT TO AVOID A PROTRACTED AND COSTLY LITIGATION.
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