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: 
$156,349,429
Number of records: 
4
Top 10 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$107,549,4292
fraud$43,800,0001
financial institution supervision failures$5,000,0001
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 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.

Associated Names: 

CONVERGEX GROUP; SG COWEN AND F / K / A SG COWEN SECURITIES; SG COWEN SECURITIES


Individual Penalty Records:

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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 financial institution supervision failures 2003 SEC $5,000,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation investor protection violation 2004 SEC $125,000
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