FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073543101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chris S. Stocks (Respondent) General Securities Representative CRD No. 2600346 Pursuant to FINRA Rule 9216, Respondent Chris S. Stocks submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076346501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew T. Higgins (Respondent) Investment Banking Representative CRD No. 4209849 Pursuant to FINRA Rule 9216, Respondent Matthew T. Higgins submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079290101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BOK Financial Securities, Inc. (Respondent) Member Firm CRD No. 17530 Pursuant to FINRA Rule 9216, Respondent BOK Financial Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.