Tag Archives: Cowen Execution Services LLC

FINRA Bars Cowen Stockbroker For Failure To Comply

November 24, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Gregory Charles Voetsch of New York New York a stockbroker formerly registered with Cowen Execution Services LLC (formerly known as Convergex Execution Solutions LLC) has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Voetsch neglected to comply with a FINRA investigation concerning a customer […]

Read More »