Convergex Execution Solutions, LLC and Now Known as Cowen Execution Services LLC

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09/13/2018 03:14 PM EDT

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
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