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Matthew Mitchell Fired from BOK Financial Securities

Matthew Mitchell (CRD #: 4854608), a broker registered with Aegis Capital Corporation, was fired from his previous firm, according to his BrokerCheck record, accessed on February 15, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Termination from BOK Financial Securities

On December 8, 2022, Matthew Mitchell was fired from BOK Financial Securities for allegedly failing to contact a client before placing transactions in their account on September 29 and 30, 2022.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 3260

Unauthorized trading violates FINRA Rule 3260, which restricts brokers from exercising their trading discretion outside pre-approved discretionary accounts. These accounts must be approved for discretionary trading by both the client and the firm.

Background Information

Matthew Mitchell has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Matthew Mitchell is a registered broker in 23 states and a registered investment adviser in Arizona, Colorado, Kansas, New Mexico, Oklahoma, Texas, and Wisconsin.

He has also worked for the following firms:

  • BOK Financial Advisors (CRD#:17530)
  • BOK Financial Securities (CRD#:17530)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)

Kurta Law Can Help

If you worked with Matthew Mitchell and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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