DAVID SHIELDS CHAPMAN is currently employed as a Broker and/or Investment Adviser at SILVER LEAF PARTNERS, LLC located at 420 LEXINGTON AVENUE, SUITE 2805, NEW YORK, NY, 10170-2200.
DAVID SHIELDS CHAPMAN has worked at SILVER LEAF PARTNERS, LLC since May 03, 2012
Disclosure History
DAVID SHIELDS CHAPMAN has 2 Disclosure Event(s).
Date: April 02, 2009 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: BANKRUPTCY WAS AS A RESULT OF SEVERAL EVENTS THAT COMPRISED THE PERFECT STORM. I SOLD MY BROKER DELAER IN 2006, PURCHASED THE ASSETS OF AN AUTOMOBILE FINANCING COMPANY FOR SUB-PRIME LOANS, WHERE MANY OF THE VEHICLES WERE STOLEN. A DIVORCE AND THE COLLAPSE OF THE REAL ESTATE MARKET ALSO CONTRIBUTED.
Date: March 08, 2007 Category: Customer Dispute Allegations: UNSUITABLE INVESTMENTS; CHURNING; FAILURE TO SUPERVISE; VIOLATION OF FLORIDA STATUTES, INCLUDING CHAPTER 517; VIOLATIONS OF NORTH CAROLINA SECURITIES LAWS; VIOLATIONS OF NYSE'S "KNOW YOUR CUSTOMER" RULE 405; AND NASD'S RULE 2310, CUSTOMER SUITABILITY; BREACH OF FIDCUIARY DUTY; MISCONDUCT; COMMON LAW FRAUD; NEGLIGENT HIRING; NEGLIGENT RETENTION; AND NEGLIGENT SUPERVISON OF EMPLOYEES. Damage Amount Requested: $100,000.00 Settlement Amount: $40,000.00
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