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 |
|---|---|---|---|---|---|---|---|---|
| Craig Richard Kitchen | 2791352 | 1 | 08/27/2001 | Customer Dispute | Settled | $54,511.00 | $0.00 | See FINRA Report |
| James Scott Deneen | 4300481 | 1 | 01/01/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Erik Joseph Visokey | 4927308 | 1 | 07/01/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Ernest Torres | 1555032 | 2 | 12/03/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Ernest Torres | 1555032 | 2 | 03/24/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick David Smith | 2921804 | 1 | 01/28/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Daniel Wills | 1598724 | 1 | 08/27/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Gray Tindell | 2509321 | 1 | 12/06/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Swirles Rossi | 1174792 | 2 | 05/17/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Swirles Rossi | 1174792 | 2 | 09/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |