Cowen Execution Services LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/08/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150444061-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA”) RE: Cowen Execution Services LLC, Respondent Broker-Dealer CRD No. 35693 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cowen Execution Services LLC (“Cowen” or the “firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the alleged
Reference 2015044406101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/17/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039942003 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Cowen Execution Services LLC, Respondent Former Registered Representative CRD No. 4557338 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Cowen Execution Services LLC ("Cowen" or the "firm") submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing
Reference 2014039942003data-portal.finra.org finra.org

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