JOHN HENRY SHAW is currently employed as a Broker and/or Investment Adviser at MAXIM GROUP LLC located at 405 LEXINGTON AVENUE, NEW YORK, NY, 10174.
JOHN HENRY SHAW has worked at MAXIM GROUP LLC since November 29, 2012
Disclosure History
JOHN HENRY SHAW has 2 Disclosure Event(s).
Date: December 14, 2009 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT THE RESPONDENTS, INCLUDING MR. SHAW, MADE UNSUITABLE RECOMMENDATIONS, MISREPRESENTATIONS, AND OMISSIONS CONCERNING USE OF MARGIN AND CERTAIN INVESTMENTS BETWEEN 2002 AND 2007. Damage Amount Requested: $300,000.00 Settlement Amount: $90,000.00 09-06486
Date: June 04, 1999 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT THE REGISTEREDREPRESENTATIVE ISSUED INAPPROPIATE INVESTMENT THAT INCLUDEDOMISSIONS OF MATER INFORMATION AND UNAUTHORIZED TRADING.DAMAGES SPECIFIED AT $100,000 Damage Amount Requested: $100,000.00 Broker Comment: FIRM FOUND CUSTOMERS ALLEGATIONS WITHOUT MERITAND COULD NOT SUBSTANTIATE THE CUSTOMERS SPECIFIED DAMAGES.
More Information
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