COWEN AND COMPANY ⚠ Disclosure events
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 7616
- Firm name
- COWEN AND COMPANY
- Other names / DBAs
- COWEN & CO., LLC; TD COWEN PRIME EXECUTION SERVICES; TD COWEN; SOGEN SECURITIES CORPORATION; SOCIETE GENERALE SECURITIES CORPORATION; SG COWEN SECURITIES CORPORATION; SG COWEN & CO., LLC; HUDSON SECURITIES, INC.; COWEN AND COMPANY, LLC; COWEN AND COMPANY
- IA scope
- —
- SEC BD file
- 8-22522
- Branches
- 0
- Disclosure events
- YES
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