mirror-epstein-docs/results/IMAGES004/DOJ-OGR-00010188.json

{
  "document_metadata": {
    "page_number": "4",
    "document_number": "604",
    "date": "03/16/13",
    "document_type": "court document",
    "has_handwriting": false,
    "has_stamps": false
  },
  "full_text": "Case 1:09-cr-00581-WHP Document 604 Filed 03/16/13 Page 4 of 14\n\nZUCKERMAN SPAEDER LLP\n\nThe Honorable William H. Pauley, III\nMarch 7, 2013\nPage 4\n\nAs 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:\n\n[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.\n\nLetter of Phil Allen.\n\nOthers 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\n\n2 David has been sued by several taxpayers whose tax shelters were disallowed.",
  "text_blocks": [
    {
      "type": "printed",
      "content": "Case 1:09-cr-00581-WHP Document 604 Filed 03/16/13 Page 4 of 14",
      "position": "header"
    },
    {
      "type": "printed",
      "content": "ZUCKERMAN SPAEDER LLP",
      "position": "header"
    },
    {
      "type": "printed",
      "content": "The Honorable William H. Pauley, III\nMarch 7, 2013\nPage 4",
      "position": "header"
    },
    {
      "type": "printed",
      "content": "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:\n\n[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.",
      "position": "main"
    },
    {
      "type": "printed",
      "content": "Letter of Phil Allen.",
      "position": "main"
    },
    {
      "type": "printed",
      "content": "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",
      "position": "main"
    },
    {
      "type": "printed",
      "content": "2 David has been sued by several taxpayers whose tax shelters were disallowed.",
      "position": "footer"
    }
  ],
  "entities": {
    "people": [
      "David",
      "Phil Allen",
      "Jeffrey DeYoung",
      "Susan Manske",
      "John McGuire",
      "Kathryne McGuire",
      "William H. Pauley, III"
    ],
    "organizations": [
      "Credit Suisse First Boston",
      "ZUCKERMAN SPAEDER LLP"
    ],
    "locations": [
      "Chicago"
    ],
    "dates": [
      "March 7, 2013",
      "03/16/13"
    ],
    "reference_numbers": [
      "1:09-cr-00581-WHP",
      "Document 604"
    ]
  },
  "additional_notes": "The document appears to be a court filing, likely a letter or brief, discussing the character and professional conduct of a broker named David. The text is well-formatted and printed, with no visible handwriting or stamps."
}