Cohen & Co Inc.
For the period ended Mar 31, 2024. Filed May 6, 2024.
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Mar 31, 2024 · Filed May 6, 2024
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Legal Proceedings
Item 1. Legal Proceedings
Our subsidiary investment adviser, Cohen & Company Financial Management LLC (CCFM), is currently subject to an investigation by the SEC’s enforcement division, which is reviewing its disclosure practices around conflicts of interest and other issues. As is our current practice, we are cooperating with the SEC Staff and are in the process of responding to their requests for information. We cannot predict the outcome of this investigation. The costs related to responding to and cooperating with the SEC staff may be material and could continue to be material at least through the completion of the SEC investigation.
Incorporated by reference to the headings titled “Commitments and Contingencies” in note 21 to the consolidated financial statements included in Item 1 in this Quarterly Report on Form 10-Q.
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