Kevin Hall of BOK Financial Securities Fined for Fund Misuse


Kevin Hall, Financial Advisor, faces sanctions for misusing corporate funds

Financial advisors have been reported to the Financial Industry Regulatory Authority of Canada (FINRA) on August 8, 2019. Kevin Hall He has received sanctions for misuse of funds belonging to his member company. Hall, who worked with BOK Financial Securities, Inc. The link to the current page Int. Assets INVestment Management, LLCThe sanctions were imposed without denying or admitting the findings.

Hall had charged $725 on his corporate card for a personal night out at a club. Hall may have made the charges himself or knew about them. Hall was prohibited from using the corporate credit cards for non-business use by the rules of his firm. Hall submitted an incorrect expense report to his firm, which led the firm to pay for the charges.

Sanctions Details

Kevin Hall faces a number of sanctions, including:

  • Civil and Administrative Penalty(ies)/Fine(s): Hall was fined $5,000.
  • Suspension: Hall is suspended in all capacities from August 21st, 2023 until December 20th, 2023.

The information can be found on FINRA’s BrokerCheck, which gives investors information about the background, business practices and conduct of FINRA members and their brokers.

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Investors can recover their losses through FINRA arbitration

Investors that have suffered losses as a result of misconduct by brokers or financial advisors may seek compensation via the FINRA arbitral process. It’s a more efficient and cost-effective option than traditional litigation. This process involves an arbitrator panel who reviews the case before making a final decision.

Investors have the right to file a lawsuit for many reasons, including but no limited to: negligence, breach of fiduciary obligation, misrepresentation or fraud. The claim must have been filed within six-years of the event that gave rise to it.

Investors must remember that a strong argument backed by solid evidence is needed to recover losses in FINRA arbitration. It is therefore recommended that you seek out the help of an attorney or law firm that specializes on securities arbitration.

Investors are encouraged by the FDIC to review their statements and accounts regularly, and report irregularities. They should also do their due diligence before selecting a financial advisor or broker to manage their investment.

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