JOHN CALVIN SHAW

JOHN CALVIN SHAW is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 25570 DIXIE HWY, PERRYSBURG, OH, 43551.

JOHN CALVIN SHAW has worked at LPL FINANCIAL LLC since October 20, 2009

Disclosure History

JOHN CALVIN SHAW has 3 Disclosure Event(s).

Date: February 06, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $8,394.48
Judgment/Lien Type: Tax

Date: February 06, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $42,374.75
Judgment/Lien Type: Tax

Date: August 09, 2000
Category: Customer Dispute
Allegations: CLAIMANTS CLAIM SHAW DID NOT DILIGENTLY SUPERVISE FC WHICH CAUSED CLAIMANTS TO MISS OUT ON AN ALLEGED ONE-TIME FEDERAL TAX BENEFIT.
Damage Amount Requested: $200,000.00
Settlement Amount: $7,500.00
Broker Comment: THIS IS A NUISANCE SETTLEMENT TO AVOID THE COST OF CONTINUED LITIGATION OF THIS MERITLESS CLAIM.

More Information

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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.

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