Cowen and Company

Regulator action

Named in 1 sanctions listing.

Sanctions and listings1

Official designation
U.S. Commodity Futures Trading CommissionUS CFTC Enforcement ActionsUnited StatesSettled
Reference 8943-24cftc.gov

Supporting documents1

CFTC Orders TD Bank and Cowen to Pay Civil Monetary Penalties for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods
2024-08-14
https://www.cftc.gov/PressRoom/PressReleases/8943-24

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