Defendant Name: BOKF, NA

Defendant Type: Subsidiary of Public Company
Public Company Parent: BOK Financial Corporation
SIC Code: 6020
CUSIP: 05561Q20

Initial Case Details

Legal Case Name In the Matter of BOKF, NA
First Document Date 09-Sep-2016
Initial Filing Format Administrative Action
File Number 3-17533
Allegation Type Securities Offering

Violations Alleged

Related Violations Alleged

BOKF, NA is alleged to have caused Christopher Freeman Brogdon's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
BOKF, NA is alleged to have caused Christopher Freeman Brogdon's violation of Sec 17(a) (Not specified) of the Securities Act.


First Resolution Date 09-Sep-2016
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

33-10204 09-Sep-2016 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On September 9, 2016, the SEC issued a settled administrative proceedings against BOKF, NA. According to the SEC: "These proceedings arise out of the assistance provided by BOKF to Christopher Brogdon ("Brogdon") in connection with a series of fraudulent bond offerings through which Brogdon raised millions of dollars from investors to build, purchase, and renovate nursing homes, assisted living facilities, and retirement communities throughout the Southeastern and Midwestern United States."
2016-182 09-Sep-2016 Press Release--Administrative Proceeding
BOK Financial, Senior Executive Charged with Turning Blind Eye to Investment Scheme
On September 9, 2016, the SEC 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 numerous problems and red flags from investors in municipal bond offerings to purchase and renovate senior living facilities."
34-81905 19-Oct-2017 Administrative Proceeding
Order Establishing Fair Funds and Transferring Fair Funds to a Court-Appointed Monitor
"The Division of Enforcement ("Division") now requests that a Fair Fund be established pursuant to Section 308(a) of the Sarbanes-Oxley Act, for the $1,667,721.36 in disgorgement, prejudgment interest, and civil money penalty paid by BOKF, and that the Fair Fund be transferred to the Monitor in the Brogdon District Court Action, so that the Fair Fund can be combined with the funds obtained in that action and distributed by the Monitor to harmed investors."

Related Actions:

SEC v. Marrien Neilson
SEC (Plaintiff) v. Christopher Freeman Brogdon (Defendant) and Connie Brogdon, Tygh Brogdon, Brogdon Family LLC, Gordon Jensen Healthcare Association, Inc., JRT Group 2 Properties, LLC, Mobama Nursing, LLC, National Assistance Bureau, Inc., Saint Simons Healthcare, LLC , and Winter Haven Homes, Inc. (Relief Defendants)
In the Matter of Lawson Financial Corporation and Robert Lawson