Our Staff has compiled our research into a database of FINRA Broker Disclosures for BOK Financial Securities, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
---|---|---|---|---|---|---|---|---|
Matthew Franklin Mitchell | 4908737 | 1 | 11/07/2023 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
Ronald Charles Keever | 4002568 | 2 | 09/22/2016 | Customer Dispute | Settled | $55,237.00 | $0.00 | See FINRA Report |
Bradley C Wedel | 4245653 | 2 | 07/28/2011 | Customer Dispute | Settled | $12,656.40 | $0.00 | See FINRA Report |
Kent Allen Musbach | 1988192 | 1 | 09/16/2010 | Customer Dispute | Settled | $77,310.90 | $0.00 | See FINRA Report |
Joshua Aaron Hunt | 4515212 | 1 | 09/16/2010 | Customer Dispute | Settled | $77,310.90 | $0.00 | See FINRA Report |
Brandy Barnes Marion | 4004116 | 1 | 07/15/2010 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
Ronald Ames Rotthaus | 1646619 | 2 | 12/31/2009 | Customer Dispute | Settled | $316,126.00 | $0.00 | See FINRA Report |
Scott Ryan Swiggett | 4638175 | 1 | 02/23/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
Jason Edward Liles | 3041178 | 1 | 07/10/2003 | Customer Dispute | Settled | $8,500.00 | $0.00 | See FINRA Report |
Richard Lee Hundley | 1397697 | 1 | 03/06/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |