VANSHAP CAPITAL, LLC

VANSHAP CAPITAL, LLC of ARLINGTON, VA is an SEC exempt reporting adviser (CRD 162206).

Registration

Name	Role	Location
David Samuel Shapiro	MANAGER AND MEMBER AND CHIEF COMPLIANCE OFFICER	—
Evan Richard Vanderveer	MANAGER AND MEMBER	—
SHAPIRO DAVID SAMUEL	MANAGER AND MEMBER AND CHIEF COMPLIANCE OFFICER	—
VANDERVEER EVAN RICHARD	MANAGER AND MEMBER	—

Initiated	Type	Allegations	Status	Amount
2011-09-08	regulatory	ON SEPTEMBER 8, 2011, DAVID S. SHAPIRO, A PRINCIPAL OF VANSHAP CAPITAL, LLC, WAS SANCTIONED FOR VIOLATING FINRA RULE 2010, NASD RULE 2711(G)(2), AND 2711(H)(1)(A) BY EXECUTING MULTIPLE TRADES (IN 2009) IN COVERED SECURITIES IN ACCOUNTS IN WHICH HE OR A MEMBER OF HIS HOUSEHOLD HAD A FINANCIAL INTERES…	Final	$5K
2011-09-08	civil	ON SEPTEMBER 8, 2011, DAVID S. SHAPIRO, A PRINCIPAL OF VANSHAP CAPITAL, LLC, WAS SANCTIONED FOR VIOLATING FINRA RULE 2010, NASD RULE 2711(G)(2), AND 2711(H)(1)(A) BY EXECUTING MULTIPLE TRADES (IN 2009) IN COVERED SECURITIES IN ACCOUNTS IN WHICH HE OR A MEMBER OF HIS HOUSEHOLD HAD A FINANCIAL INTERES…	Final	$5K