D. E. SHAW & CO., L.P. of NEW YORK, NY is an SEC-registered investment adviser (CRD 108679). Regulatory assets under management: $213.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance, Other.
Clients served: Investment cos.
Showing 25 of 41 people.
| Name | Role | Location |
|---|---|---|
| THOMAS S CLARK | CHIEF COMPLIANCE OFFICER | WEST PALM BEACH, FL |
| Thomas C Clark | CHIEF COMPLIANCE OFFICER | San Jose, CA |
| Thomas P Clark | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | Bruceton Mills, WV |
| David Elliot Shaw | LIMITED PARTNER; SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. | — |
| Maximilian Dana Stone | EXECUTIVE COMMITTEE MEMBER | — |
| Christopher Martin Zaback | CHIEF FINANCIAL OFFICER | — |
| Edward Laurence Fishman | CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | — |
| Eric Emerson Schmidt | CO-TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST | — |
| Wendy Nmn Schmidt | CO-TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST | — |
| David Mcintyre Sweet | CO-GENERAL COUNSEL | — |
| Martin Nmn Lebwohl | CO-GENERAL COUNSEL | — |
| Anne Carolyn Dinning | CHAIR OF THE EXECUTIVE COMMITTEE | — |
| Alexis Anne Halaby | EXECUTIVE COMMITTEE MEMBER | — |
| Edwin Andrew Jager | EXECUTIVE COMMITTEE MEMBER | — |
| Anoop Nmn Prasad | EXECUTIVE COMMITTEE MEMBER | — |
| Adam Angus Deaton | EXECUTIVE COMMITTEE MEMBER | — |
| Daniel Robbins Marcus | CHIEF COMPLIANCE OFFICER | — |
| HALABY JUDY ANNE | EXECUTIVE COMMITTEE MEMBER | — |
| ZABACK CHRISTOPHER M | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | — |
| STECKLER STUART | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR; MANAGING DIRECTOR | — |
| ELIAS ROCHELLE ASSAEL | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR; COMPLIANCE DIRECTOR | — |
| DINNING ANNE CAROLYN | CHAIR OF THE EXECUTIVE COMMITTEE; EXECUTIVE COMMITTEE MEMBER; MANAGING DIRECTOR | — |
| SHAW DAVID ELLIOT | LIMITED PARTNER; LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF DESCO INC; LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. (+5 more) | — |
| GAUDIO JULIUS RALPH | EXECUTIVE COMMITTEE MEMBER; MANAGING DIRECTOR | — |
| SALKIND LOUIS KEN | MANAGING DIRECTOR; VICE CHAIRMAN DESCO INC, CHIEF COMPLIANCE OFFICER; VICE CHAIRMAN D. E. SHAW & CO., INC. | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-29 | regulatory | ON SEPTEMBER 29, 2023, THE SEC ISSUED A SETTLED ORDER FINDING THAT LANGUAGE IN CERTAIN EMPLOYMENT-RELATED AGREEMENTS USED BY D. E. SHAW & CO., L.P. ("DESCO LP") RAISED IMPEDIMENTS TO EMPLOYEES' PARTICIPATION IN THE SEC'S WHISTLEBLOWER PROGRAM IN VIOLATION OF EXCHANGE ACT RULE 21F-17(A). THE SEC'S OR… | Final | $10.0M |
| 2015-09-25 | regulatory | IN DECEMBER 2013, DESCO AP, ON BEHALF OF A FUND, ENTERED INTO A BLOCK TRADE WITH A COUNTERPARTY TO PURCHASE SHARES OF A PUBLIC COMPANY IN KOREA. SUBSEQUENTLY, ON THE SAME DAY, DESCO AP DIRECTED THE FUND TO SELL THOSE SHARES. DUE TO EVENTS OUTSIDE THE CONTROL OF DESCO AP, THE COUNTERPARTY IN THE BLOC… | Final | $13K |
| 2015-01-22 | regulatory | IN JUNE 2014, D. E. SHAW & CO., L.P. UNINTENTIONALLY SUBMITTED A NOTIFICATION OF A NET SHORT POSITION IN THE SHARES OF A SWEDISH ISSUER TO THE SFSA AFTER THE NEXT-DAY NOTIFICATION DEADLINE SPECIFIED IN THE EUROPEAN UNION SHORT SELLING REGULATION. | Final | $11K |
| 2015-01-22 | regulatory | IN APRIL 2014, D. E. SHAW & CO., L.P. UNINTENTIONALLY SUBMITTED A NOTIFICATION OF A NET SHORT POSITION IN THE SHARES OF A SWEDISH ISSUER TO THE SFSA AFTER THE NEXT-DAY NOTIFICATION DEADLINE SPECIFIED IN THE EUROPEAN UNION SHORT SELLING REGULATION. | Final | $1K |
| 2015-01-16 | regulatory | IN OCTOBER 2013, AN ENTITY IN THE D. E. SHAW GROUP ADVISED BY A RELYING ADVISER OF D. E. SHAW & CO., L.P. UNINTENTIONALLY VIOLATED A POSITION LIMIT SET UNDER EXCHANGE RULE 6.20(C) OF THE ICE APPLICABLE TO NATURAL GAS FUTURES. | Final | $20K |
| 2014-05-01 | regulatory | IN OCTOBER 2013, CERTAIN ENTITIES OF THE D. E. SHAW GROUP ADVISED BY CERTAIN OF D. E. SHAW & CO., L.P.'S RELYING ADVISERS UNINTENTIONALLY VIOLATED FUTURES CONTRACT POSITION LIMITS RULE 562 SET BY NYMEX IN CONNECTION WITH TRADING NATURAL GAS FUTURES. | Final | $75K |
| 2014-05-01 | regulatory | IN NOVEMBER 2012, CERTAIN ENTITIES OF THE D. E. SHAW GROUP ADVISED BY CERTAIN OF D. E. SHAW & CO., L.P.'S RELYING ADVISERS UNINTENTIONALLY VIOLATED FUTURES CONTRACT POSITION LIMITS RULE 562 SET BY NYMEX IN CONNECTION WITH TRADING NATURAL GAS FUTURES. | Final | $25K |