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632 KB
Extraction Summary
8
People
2
Organizations
1
Locations
2
Events
3
Relationships
5
Quotes
Document Information
Type:
Legal document
File Size:
632 KB
Summary
This document is page 4 of a letter dated March 7, 2013, from the law firm Zuckerman Spaeder LLP to The Honorable William H. Pauley, III. The letter provides several character references for a broker named David, quoting former colleagues and associates who describe him as honest, diligent, and always prioritizing his clients' interests. A footnote indicates that David has been sued by taxpayers over disallowed tax shelters.
People (8)
| Name | Role | Context |
|---|---|---|
| William H. Pauley, III | The Honorable |
Recipient of the letter.
|
| David | Broker |
The subject of the letter, being described by various associates and colleagues.
|
| Phil Allen |
Author of a letter referenced in the document.
|
|
| Jeffrey DeYoung |
Author of a letter providing a positive character reference for David.
|
|
| Dave | Broker |
An alternative name used for David in a quote by Jeffrey DeYoung and Susan Manske.
|
| Susan Manske |
Author of a letter providing a positive character reference for David.
|
|
| John McGuire |
Co-author of a letter providing a positive character reference for David.
|
|
| Kathryne McGuire |
Co-author of a letter providing a positive character reference for David.
|
Organizations (2)
| Name | Type | Context |
|---|---|---|
| ZUCKERMAN SPAEDER LLP | law firm |
Appears in the letterhead, likely the sender of the letter.
|
| Credit Suisse First Boston | company |
A firm where David and a former business associate worked.
|
Locations (1)
| Location | Context |
|---|---|
|
Location of the Credit Suisse First Boston offices mentioned in the document.
|
Relationships (3)
They worked together at the Chicago offices of Credit Suisse First Boston. The associate holds David in high regard, trusting him enough to ask for consultation on a school's endowment fund.
The document states Jeffrey DeYoung "worked with David" and provided a positive character reference.
David was a broker with 30 to 40 long-term customers. The document states he put his clients' interests first and received no complaints for his investment advice.
Key Quotes (5)
"In all of [our] interactions I found David to be diligent, intelligent, and most of all honest. David always put his client's interests first, and prided himself on his ability to protect [their] assets."Source
— A former business associate
(A quote from a former business associate at Credit Suisse First Boston describing David's character.)
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Quote #1
"I would only ask David to participate if I was completely convinced of his character."Source
— A former business associate
(A quote explaining why the associate asked David to consult on a high school's endowment fund.)
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Quote #2
"always put clients first and do the right thing; when the market was starting to unravel . . . Dave was the first to pull his clients out in spite of his loss of revenue"Source
— Jeffrey DeYoung
(A quote from a letter by Jeffrey DeYoung describing David's client-focused actions.)
DOJ-OGR-00010188.jpg
Quote #3
"[i]n my opinion, Dave has always been a straight shooter, a conservative investor protecting his clients from downside risk, [and] a staunch supporter of ethical behavior"Source
— Susan Manske
(A quote from a letter by Susan Manske describing David's character and investment philosophy.)
DOJ-OGR-00010188.jpg
Quote #4
"David chose the securities business so that he could help his clients protect their assets; he truly understood his fiduciary obligations and [put] his client’s interest first"Source
— John and Kathryne McGuire
(A quote from a letter by John and Kathryne McGuire about David's motivations and understanding of his duties.)
DOJ-OGR-00010188.jpg
Quote #5
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