DOJ-OGR-00010188.jpg
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.)
DOJ-OGR-00010188.jpg
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.)
DOJ-OGR-00010188.jpg
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.)
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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
Full Extracted Text
Complete text extracted from the document (2,055 characters)
Case 1:09-cr-00581-WHP Document 604 Filed 03/16/13 Page 4 of 14
ZUCKERMAN SPAEDER LLP
The Honorable William H. Pauley, III
March 7, 2013
Page 4
March 7, 2013
Page 4
As a broker, David had 30 to 40 long-term customers, and his goal was to assist them to invest their money wisely. A former business associate writes this about him:
[A]t the Chicago offices of Credit Suisse First Boston ... I interacted with David on a constant basis during our tenure at the firm. I literally could overhear his phone calls with clients .... 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. He took very seriously his fiduciary duty, and our entire group relied upon him as a sounding board when evaluating the appropriateness of investment vehicles. As an example of how much I trust David in business, years ago I asked him to consult on the endowment fund for an inner city high school that I oversee .... [As] you can imagine ... I would only ask David to participate if I was completely convinced of his character.
Letter of Phil Allen.
Others who have worked with David sound the same theme. See letter of Jeffrey DeYoung (he would “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”); letter of Susan Manske (“[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”); letter of John and Kathryne McGuire (“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”). In all his years as a broker, David received no complaints from his customers for his investment advice.²
² David has been sued by several taxpayers whose tax shelters were disallowed.
DOJ-OGR-00010188
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