D. E. SHAW & CO., L.P. ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 108679
- Firm name
- D. E. SHAW & CO., L.P.
- Other names / DBAs
- D E SHAW & CO LP; D. E. SHAW RENEWABLE INVESTMENTS, L.L.C. (RELYING ADVISER); D. E. SHAW MULTI-ASSET ADVISER, L.L.C. (RELYING ADVISER); D. E. SHAW HELIANT ADVISER, L.L.C. (RELYING ADVISER); D. E. SHAW ESC ADVISER, L.L.C. (RELYING ADVISER); D. E. SHAW DIRECT CAPITAL, L.L.C. (RELYING ADVISER); D. E. SHAW DIOPTER ADVISER, L.L.C. (RELYING ADVISER); D. E. SHAW DIOPTER ADVISER II, L.L.C. (RELYING ADVISER); D. E. SHAW COMPOSITE ADVISER, L.L.C. (RELYING ADVISER); D. E. SHAW ALKALI ADVISER VI, L.L.C. (RELYING ADVISER); D. E. SHAW ADVISER, L.L.C. (RELYING ADVISER); D. E. SHAW ADVISER III, L.L.C. (RELYING ADVISER); D. E. SHAW ADVISER II, L.L.C. (RELYING ADVISER); D. E. SHAW (SINGAPORE) PTE. LTD. (RELYING ADVISER); D. E. SHAW & CO., L.P.; D. E. SHAW & CO. (LONDON), LLP (RELYING ADVISER); D. E. SHAW & CO. (ASIA PACIFIC) LIMITED (RELYING ADVISER)
- IA scope
- ACTIVE
- SEC IA file
- 801-56171
- Branches
- 1
- Disclosure events
- YES
- HQ
- NEW YORK, NY, 10001, United States
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