Violation Tracker Parent Company Summary

Parent Company Name: 
Cowen Inc.
Ownership Structure: 
publicly traded (ticker symbol COWN)
Headquartered in: 
New York
Major Industry: 
financial services
Specific Industry: 
investment management and brokerage services
Penalty total since 2000: 
$159,099,429
Number of records: 
5
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$112,549,4293
competition-related offenses$43,800,0001
miscellaneous offenses$2,750,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$112,549,4293
fraud$43,800,0001
data submission deficiencies$2,750,0001
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

Convergex Execution Solutions LLC; CONVERGEX GROUP; SG COWEN AND F / K / A SG COWEN SECURITIES; SG COWEN SECURITIES


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
ConvergEx Group investor protection violation 2013 SEC $107,424,429
ConvergEx Group LLC fraud 2014 DOJ_CRIMINAL $43,800,000
SG Cowen Securities Corporation investor protection violation 2003 SEC $5,000,000
Convergex Execution Solutions LLC data submission deficiencies 2018 SEC $2,750,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation investor protection violation 2004 SEC $125,000
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