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The SEC has penalized the firm $2.75 million for alleged deficiencies via its electronic blue sheet, or EBS, data-file submissions.
New York-based Convergex Execution Solutions LLC, the broker-dealer now known as Cowen Execution Services LLC, will pay $2.75 million to settle charges that it failed to provide the SEC with “true and complete” securities trading information in its electronic blue sheet, or EBS, data-file submissions. Convergex admitted to the findings in a recent SEC order...
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