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
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
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