Cowen and Company

08/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070102463-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cowen and Company, Respondent Broker-Dealer CRD No. 7616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cowen and Company (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. This AWC is submitted

Reference 2007010246301data-portal.finra.orgfinra.org

11/27/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071022201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cowen and Company (Respondent) Member Firm (CRD No. 7616), in its own right and as successor-in-interest to Cowen Prime Services LLC (CRD No. 153397) Pursuant to FINRA Rule 9216, Respondent Cowen and Company (Cowen or Respondent), in its own right and as successor-in-interest to former member firm Cowen Prime Services LLC (Cowen Prime), submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2021071022201data-portal.finra.orgfinra.org

03/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170063-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cowen and Company, Respondent Broker-Dealer CRD No, 7616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cowen and Company (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 2009017006301finra.orgdata-portal.finra.org

08/19/2026: For one partial tender offer (PTO) in 2022, Cowen violated the Securities Exchange Act of 1934 Rule 14e-4(b)(1) and FINRA Rule 2010 by over-tendering 100,000 shares in a partial tender offer of Company 1. In addition, from October 2022 through May 2024, Cowen violated FINRA Rules 3110 and 2010 by failing to have a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with Exchange Act Rule 14e-4. For these violations, Cowen is censured, fined $80,000, of which $40,000 will be paid to FINRA.

Reference 2023078230701finra.orgdata-portal.finra.org