David N. Cohen

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/03/2026: Cohen refused to appear for on-the-record testimony requested by FINRA pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2025088109801data-portal.finra.org finra.org

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