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In the Matter of Cowen and Company, LLC and Cowen Investment Management LLC

Sept. 30, 2024

2024-128

In the Matter of Cowen and Company, LLC and Cowen Investment Management LLC
Administrative Proceeding File No.: 3-22007
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

Last Reviewed or Updated: Sept. 30, 2024

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Enforcement & Litigation

Compliance

In the Matter of Cowen and Company, LLC and Cowen Investment Management LLC

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In the Matter of Cowen and Company, LLC and Cowen Investment Management LLC