STEVEN DAVID SHAFFER

STEVEN DAVID SHAFFER is currently employed as a Broker and/or Investment Adviser at HCFP/CAPITAL MARKETS LLC located at 747 Third Avenue, 2nd Floor, NEW YORK, NY, 10017.

STEVEN DAVID SHAFFER has worked at HCFP/CAPITAL MARKETS LLC since December 23, 2016

Disclosure History

STEVEN DAVID SHAFFER has 1 Disclosure Event(s).

Date: February 10, 1995
Category: Customer Dispute
Allegations: CLAIMANTS ALLEGED MISREPRESENTATION WITHREGARD TO ACCOUNT VALUE AND ACCOUNT PERFORMANCE. CLAIMANTSALLEGD LOSSES OF $198,575.00 AND SOUGHT REIMBURSEMENT FOR LOSTINVESTMENT OPPORTUNITY, PUNITIVE DAMAGES OF $500,000.00 ANDLEGAL COSTS AND FEES.
Damage Amount Requested: $198,576.00
Settlement Amount: $105,000.00
Broker Comment: IN ORDER TO AVOID THE COSTS AND UNCERTAINTIES OFLITIGATION, HAMPSHIRE SECURITIES CORP. SETTLED THE MATTER FOR$105,000.00. I CONTRIBUTED $80,000.00 TOWARDS THE SETTLEMENT.I HAD SIGNED A CONTRACT STATING THAT HAMPSHIRESECURITIES WOULD PROVIDE A FULLY DETAILED FUND MANAGEMENTPROGRAM WITH CURRENT AND ACCURATE REPORTING OF ACCOUNT STATUS.ACCOUNT VALUE AND PERFORMANCE DATA AS PROVIDED BY BOTH REPUBLICNEW YORK GROUP AND HAMPSHIRE SECURITIES WERE NOT CORRECT.

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