BOK Financial Securities Inc.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/02/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051512501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BOK Financial Securities, Inc. CRD No. 17530 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent BOK Financial Securities, Inc. ("BOK," the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2016051512501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/03/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079290101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BOK Financial Securities, Inc. (Respondent) Member Firm CRD No. 17530 Pursuant to FINRA Rule 9216, Respondent BOK Financial Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2023079290101data-portal.finra.org finra.org

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