D.E. SHAW SECURITIES L.L.C.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100212476-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: D.E. Shaw Securities, L.L.C., Respondent Broker-Dealer CRD No. 24332 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, D.E. Shaw Securities, L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2010021247601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090188627-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: D.E. Shaw Securities, L.L.C., Respondent Broker-Dealer CRD No. 24332 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, D.E. Shaw Securities, L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2009018862701data-portal.finra.org finra.org

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