WILLIAM JOSEPH GRACE is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1152 15TH ST NW, WASHINGTON, DC, 20005.
WILLIAM JOSEPH GRACE has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 20, 1978
Disclosure History
WILLIAM JOSEPH GRACE has 2 Disclosure Event(s).
Date: January 01, 1987 Category: Customer Dispute Allegations: RECOMMENDED UNSUITABLE SPECULATIVE SECURITIESAND AN UNSUITABLE TAX SHELTER DAMAGES SOUGHT--$133,518.76 Damage Amount Requested: $133,518.76 Damages Granted: $30,000.00 Broker Comment: CUSTOMERS WERE AWARDED $30,000SEE ATTACHED STATEMENT OF CLAIM AND ANSWER.
Date: September 15, 1986 Category: Customer Dispute Allegations: MERRILL LYNCH,PIERCE,FENNER & SMITH FILED ACIVIL ACTION AGAINST THE CUSTOMERS [CUSTOMERS] TORECOVER AN UNSECURED DEBIT BALANCE IN THE AMOUNT OF $28,614.06ARISING FROM UNPAID OPTIONS TRANSACTIONS. THE CUSTOMER FILED ACOUNTERCLAIM AND THIRD PARTY COMPLAINT ALLEGING BREACH OFFIDUCIARY DUTY,NEGLIGENCE,FRAUD,VIOLATIONS OF SECTION 10(B) ANDRULE 10(B)5, ETC. DAMAGES SOUGHT WERE $500,000.00 Damage Amount Requested: $500,000.00 Damages Granted: $96,264.00 Broker Comment: CUSTOMERS WERE AWARDED $96,264.00 ON THEIRCOUNTERCLAIM AND 3RD PARTY COMPLAINT.SEE ATTACHED COMPLAINT, AMENDED COUNTERCLAIM ANDAMENDED THIRD PARTY COMPLAINT,ANSWER TO AMENDED COUNTERCLAIMAND ANSWER TO AMENDED THIRD PARTY COMPLAINT.
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