EVERCORE GROUP L.L.C.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEFTANCE, WAIVER AND CONSENT NO. 20110302070-01 TO: Department of Market Regulation Financial industry Regulatory Authority ("FINRA") RE: Evercore Group L.L.C. (successor to International Strategy & Investment Group LLC) Broker-Dealer CRD No. 42405 (successor to CRD No. 28195) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Evercore Group L.L.C. ("Respondent") (as successor to International Strategy & Investment Group LLC, or the "firm")
Reference 2011030207001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/22/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056128501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Evercore Group L.L.C. (Respondent) Member Firm CRD No. 42405 Pursuant to FINRA Rule 9216, Respondent Evercore Group L.L.C. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2017056128501data-portal.finra.orgfinra.org
Other names1
Also known as1
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