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FINRA Awards for Cowen and Company

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0085909/13/2022Claimant(s): Terence Dolan, Benjamin & Jerold Brokerage I
Claimant Lawyers(s): Warren A. Raiti
Respondent(s): Cowen and Company
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): James M. Rhodes, Mitchell Regenbogen, Robert Lee Bull
Hearing Site: New York, NY
20-0066009/18/2020Claimant(s): Daniel Nawrocki
Claimant Lawyers(s): John D. Singer
Respondent(s): Cowen and Company
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
19-0331006/19/2020Claimant(s): Steven Southworth
Claimant Lawyers(s): Frances Menzer
Respondent(s): Cowen and Company
Respondent Lawyers(s): Steven Cohen
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
19-0180603/06/2020Claimant(s): Steven Southworth
Claimant Lawyers(s): Frances Menzer
Respondent(s): Cowen and Company
Respondent Lawyers(s): Steven Cohen
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
08-0452110/11/2010Claimant(s): Betsy Van Hees
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Cowen and Company
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Sheldon Michaels, Joseph Berzok, Terri Coster Boesch
Hearing Site: San Francisco, CA
07-0166501/28/2008Claimant(s): Cowen and Company
Claimant Lawyers(s): Lloyd S. Clareman
Respondent(s): Paul Balser
Respondent Lawyers(s): Eric J. Grannis
Arbitrator(s): Michael P. Golden, Douglas F. Stone, Jean C. Black
Hearing Site: New York, NY

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