CUSTOMER ALLEGES UNSUITABILITY, MISREPRESENTATIONS, AND EXCESSIVE AND UNAUTHORIZED TRADING.

$65,000.00

FINRA

Respondent Shaw failed to respond to FINRA request for information.

Letter

Bar (Permanent)

All Capacities

Indefinite

8/16/2016

Pursuant to FINRA Rule 9552(h) and in accordance with FINRA's Notice of Suspension and Suspension from Association letters dated May 16, 2016 and June 9, 2016, respectively, on August 16, 2016, Shaw is barred from association with any FINRA member in any capacity. Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity.

CUSTOMER ALLEGES UNAUTHORIZED TRADING.

$8,000.00

CUSTOMER ALLEGES UNAUTHORIZED TRADING.

$26,874.18

$6,773.77

CUSTOMER ALLEGES UNAUTHORIZED TRADING.

$56,166.00

$7,000.00

CUSTOMER ALLEGES UNAUTHORIZED TRADING.

$50,000.00

$13,041.14

ALLEGES UNAUTHORIZED TRANSACTIONS AND SPECULATIVE AND SHORT TERM TRADING OF CLAIMANT'S SECURITIES ACCOUNTS BETWEEN DECEMBER 2012 AND FEBRUARY 2015.

$137,388.00

$60,000.00

CLAIMANT ALLEGES THAT REGISTERED REPRESENTATIVE IMPLEMENTED AN INVESTMENT STRATEGY THAT WAS UNSUITABLE AND EXCESSIVELY TRADED CLAIMANT'S RETIREMENT ACCOUNT.

$250,000.00

$175,000.00

Customer alleges unauthorized municipal bond trades. Activity period: 3/18/2014 to 9/23/2014.

AGGRAVATED ASSAULT

Dismissed

DE RESIDENT WRITES THAT FA MISMANAGES ACCOUNTS RESULTING IN LOSS OF ALL BUT $2000. STARTED WITH $25000 AT MERRILL IN FEB 2007 AND TRANSFERRED APPROXIMATELY $20000 IN STOCK TO WACHOVIA SECURITES IN SEPTEMBER 2007.

$18,000.00

$2,232.30

POA FOR PENNSYLVANIA CLIENT WRITES THAT VALUE OF ACCOUNT DECLINED FROM $200,000 TO $21,407 DUE TO UNAUTHORIZED, IMPROPER AND EXCESSIVE TRADING. (8/1/2007-5/31/2008)

$82,150.00

$7,013.00

IN THE INTERESTS OF CLIENT RELATIONS AND TO AVOID THE COSTS AND UNCERTAINTIES OF ARBITRATION, SETTLED IN THE AMOUNT OF $7013.00. THE CLIENT WAS RECKLESS OVER THE YEARS ULLING EQUITY FROM THE ACCT VIA WIRES. THIS WAS A BASELESS CLAIM AND THE DAMAGES AWARDED WERE NOTHING MORE THAN WACHOVIA MAKING A NUISANCE GO AWAY.