MICHAEL SCOTT ROSEN

MICHAEL SCOTT ROSEN is currently employed as a Broker and/or Investment Adviser at COWEN PRIME SERVICES LLC located at 599 LEXINGTON AVENUE, 21 floor, NEW YORK, NY, 10022.

MICHAEL SCOTT ROSEN has worked at COWEN PRIME SERVICES LLC since November 01, 2010

Disclosure History

MICHAEL SCOTT ROSEN has 3 Disclosure Event(s).

Date: May 05, 2016
Category: Customer Dispute
Allegations: AN ARBITRATION WAS FILED AGAINST A FORMER RR REGARDING BROKERAGE ACCOUNT ACTIVITY TRANSACTIONS BETWEEN 2010 AND 2016. MR. ROSEN WAS NAMED AS RESPONDENT DUE TO HIS SUPERVISORY ROLE.
Damage Amount Requested: $800,000.00
Settlement Amount: $185,000.00 16-01147

Date: March 31, 2009
Category: Regulatory
Initiated By: ILLINOIS
Allegations: RESPONDENT'S REGISTRATION AS A SALESPERSON IN THE STATE OF ILLINOIS IS SUBJECT TO DENIAL PURSUANT TO SECTION 8.E. (1) (J) OF THE ACT.
Resolution: Order
Sanctions: : RESPONDENT IS LEVIED COSTS OF INVESTIGATION IN THIS MATTER IN THE AMOUNT OF ($1,500.00) WHICH THE RESPONDENT PAID. THE RESPONDENT SHALL COMPLY WITH ALL OF THE TERMS AND CONDITIONS CONTAINED IN HIM ACCOMPANYING AFFIDAVIT WHICH HAS BEEN MADE A PART OF THIS ORDER.
Broker Comment: THE FORMAL HEARING SCHEDULED ON THIS MATTER IS HEREBY DISMISSED WITHOUT FURTHER PROCEEDINGS.

Date: January 09, 2008
Category: Regulatory

More Information

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