FINRA fines Cowen and Company for alleged rule violations
The Financial Industry Regulatory Authority (FINRA) has imposed a fine on Cowen and Company.
Cowen
Nasdaq Texas fines TD Securities (USA) LLC for alleged rule violations
TD Securities (USA) LLC, as successor to Cowen & Company LLC, has agreed to pay a fine of $85,000 as a part of a settlement with Nasdaq Texas.
