Violation Tracker Parent Company Summary
|Top 10 Primary Offense Types||Penalty Total||Number of Records|
|investor protection violation||$107,549,429||2|
|financial institution supervision failures||$5,000,000||1|
|data submission deficiencies||$2,750,000||1|
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 dollar total above may be adjusted to account for the fact that the list of 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. Duplicate penalty amounts are marked with an asterisk in the list below.
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.
|Company||Primary Offense Type||Year||Agency||Penalty Amount|
|ConvergEx Group||investor protection violation||2013||SEC||$107,424,429|
|ConvergEx Group LLC||fraud||2014||DOJ_CRIMINAL||$43,800,000|
|SG Cowen Securities Corporation||financial institution supervision failures||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|