JENNIFER M SHAW

JENNIFER M SHAW is currently employed as a Broker and/or Investment Adviser at DEUTSCHE BANK SECURITIES INC. located at 345 PARK AVENUE, NEW YORK, NY, 10154.

JENNIFER M SHAW has worked at DEUTSCHE BANK SECURITIES INC. since October 21, 2009

Disclosure History

JENNIFER M SHAW has 2 Disclosure Event(s).

Date: June 28, 2011
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION AND SUITABILITY WITH RESPECT TO THE SALE OF ASTA THREE LLC. ALLEGED TIME FRAME 2005. THE FIRM DENIES THE ALLEGATIONS AS THE RISKS WERE DISCLOSED BOTH VERBALLY AND IN WRITING AND THE LOSSES WERE THE RESULT OF HISTORIC MARKET EVENTS.
Damage Amount Requested: $1,000,000.00
Settlement Amount: $210,000.00
Broker Comment: THIS CASE WAS SETTLED TO AVOID THE COST AND RISK ASSOCIATED WITH ARBITRATION. THE FIRM DENIES THE ALLEGATIONS AS THE RISKS WERE DISCLOSED BOTH VERBALLY AND IN WRITING AND THE LOSSES WERE THE RESULT OF HISTORIC MARKET EVENTS.

Date: May 27, 2010
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE RISKS ASSOCIATED WITH ASTA THREE LLC, ASTA TWO, ASTA FINANCE LLC, WERE NOT PROPERLY DISCLOSED AT THE TIME OF PURCHASE. ALLEGED TIME FRAME MARCH 2002 THROUGH AUGUST 2005. THE FIRM DENIES THE ALLEGATIONS AS THE RISKS WERE DISCLOSED BOTH VERBALLY AND IN WRITING AND THE LOSSES WERE THE RESULT OF HISTORIC MARKET EVENTS.
Settlement Amount: $325,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for JENNIFER M SHAW, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.