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Securities Exchange Commission

BOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme

12/09/2016(0)
The Securities and Exchange Commission today announced that a subsidiary of Oklahoma-based BOK Financial Corporation has agreed to pay more than $1.6 million to settle charges that it concealed ... Read More
Logos of Deutsche Bank AG are seen in Tokyo

FINRA Fines Deutsche Bank Securities Inc. $12.5 Million for Inadequate Supervision of Internal Communications

09/08/2016(0)
The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $12.5 million for significant supervisory failures related to research and trading-related information it disseminated ... Read More
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