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Cowen & Company n.k.a. Financial Square Partners

Cowen & Company n.k.a. Financial Square Partners (CRD #1541, New York, New York) received a censure and fine of $12,500. According to the complaint, the firm failed to properly report transactions involving high yield corporate debt securities in accordance with the reporting requirements for Fixed Income Pricing SystemSM (FIPSŪ) broker/dealers. Additionally, the firm failed to establish, enforce and maintain proper supervisory procedures directing the reporting of FIPS trades, timely settlement of syndicate expenses and the completion of Free-Riding and Withholding Questionnaires. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C05990050)

Did Cowen & Company n.k.a. Financial Square Partners manage your investments?



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