Violation Tracker Individual Record

Company: 
SG Cowen Securities Corporation
Current Parent Company: 
Cowen Inc.
Penalty: 
$5,000,000
Year: 
2003
Date: 
August 14, 2003
Primary Offense: 
financial institution supervision failures
Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
HQ Country of Parent: 
USA
HQ State of Parent: 
New York
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
financial services
Specific Industry of Parent: 
investment management and brokerage services
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.