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Douglas N. Cohen is Counsel to Lowenstein Sandler's Investment Management Group, selected as one of the preeminent practices in the United States for its representation of hedge funds and other private funds (2011 and 2010) and derivatives/private equity work (2011) by Best Law Firms, published by U.S. News and Best Lawyers. Mr. Cohen's practice includes counseling clients on broker-dealer and investment adviser regulatory, compliance, registration, formation, and ongoing business issues.
Prior to joining the firm, Mr. Cohen was Vice President, Assistant General Counsel at Cantor Fitzgerald. As the Compliance/Regulatory attorney for the institutional broker-dealer and its affiliates, his duties included managing and responding to regulatory inquiries and examinations from the SEC, FINRA, NYAG, CFTC, CME, and other regulators; managing certain arbitration/litigation matters; conducting internal investigations; registering broker-dealers; drafting written supervisory procedures (WSPs); and advising on a variety of commercial agreements. He regularly provided advice on regulatory and compliance issues involving the firm’s equity, debt-capital, CDS, repurchase, carbon credit, interdealer, and futures businesses.
Previously, Mr. Cohen served as Director, Assistant General Counsel in the Legal Department, Regulatory Group of UBS Financial Services Inc., advising clients on regulatory matters and a variety of commercial matters.
Mr. Cohen also has held positions as Trial Counsel with the New York Stock Exchange, Division of Enforcement, and as associate for several law firms advising clients on litigation matters involving securities law issues.
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New FINRA Rule 1230(b)(6): Operations Professionals Must Register and Pass an Examination
Investment Management Client Alert, July 26, 2011
Scott Moss,
Douglas Cohen
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Preparing to Register Ops Professionals
Compliance Reporter, July 25, 2011
Scott Moss,
Douglas Cohen
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FINRA Rule 5131: Spinning and Market Orders Provisions Delayed to September 26, 2011
Investment Management Client Alert, May 25, 2011
Marie DeFalco,
Scott Moss,
Douglas Cohen
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View More...
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Douglas N. Cohen comments on FINRA's new operations professional examination and requirements.,
Compliance Reporter, October 10, 2011
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Douglas N. Cohen comments on FINRA's new exam and registration for broker-dealer back-office, operations professionals.,
Compliance Reporter, August 1, 2011
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In an Advisor One article, Douglas N. Cohen comments on the implications of the SEC's proposed amendments to its broker-dealer financial reporting rule.,
Advisor One, June 15, 2011
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Columbia University School of Law
(J.D., 1996),
Harlan Fiske Stone Scholar, Journal of Transactional Law
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Cornell University
(B.A., 1993),
cum laude, Distinction in All Subjects
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New York
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1997,
U.S. District Court, Southern District of New York
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1997,
U.S. District Court, Eastern District of New York
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