Any employee, shareholder, or any other person may report complaints about Cohen & Company’s accounting, internal accounting controls, or auditing matters or other concerns to the board of directors by sending such concerns by US mail to: Cohen & Company, Inc, Attention: Board of Directors, 2929 Arch Street-17th Floor, Philadelphia, PA 19104. If the concerns expressed require confidentiality, then this confidentiality will be protected, subject to applicable law, regulation or legal proceedings. Concerns relating to Cohen & Company’s accounting, internal accounting controls, or auditing matters will be referred to members of the audit committee. All other concerns will be referred to the presiding director of Cohen & Company’s board of directors.
The Company also has a compliance hotline, which can be reached by calling 800-399-3595.