William DANIEL Grafton is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 400 S PARK AVE, WINTER PARK, FL, 32789.
William DANIEL Grafton has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 19, 2007
Disclosure History
William DANIEL Grafton has 3 Disclosure Event(s).
Date: December 08, 2008 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES MISREPRESENTATION AND FAILURE TO FOLLOW INSTRUCTIONS. Damage Amount Requested: $305,167.00
Date: August 08, 2005 Category: Customer Dispute Allegations: DELAWARE RESIDENT ALLEGES IN WRITING THAT FA MISREPRESENTED THE RISKS AND COSTS OF SHORTING U.S. TREASURY COUPONS IN DECEMBER OF 2002 AND JULY OF 2003. Damage Amount Requested: $17,711.25 Broker Comment: UPON REVIEW OF THE CLIENT'S ACCOUNT OBJECTIVES AND RISK TOLERANCE, WE THE TRANSACTIONS COMPLAINED OF WERE SUITABLE AND APPROPRIATE. THE FIRM DETERMINED THERE NO EVIDENCE OF WRONGDOING.
Date: February 09, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT TRANSACTIONS THAT WERE MADE "WITHOUT GIVING US SPECIFICS BEFOREHAND" . . . "RESULTED IN TENS OF THOUSANDS OF LOSSES FOR US." SHE FURTHER CLAIMS MR. GRAFTON "MADE SOME VERY UNSUITABLE CALLS" IN THE ACCOUNT. Damage Amount Requested: $97,000.00
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