STEVE DWAIN GERMANY is currently employed as a Broker and/or Investment Adviser at BOK FINANCIAL SECURITIES, INC. located at 2250 STATE HWY 114 W., GRAPEVINE, TX, 76051.
STEVE DWAIN GERMANY has worked at BOK FINANCIAL SECURITIES, INC. since June 01, 2007
Disclosure History
STEVE DWAIN GERMANY has 2 Disclosure Event(s).
Date: April 24, 2014 Category: Customer Dispute Allegations: CLIENTS ALLEGED EMBEZZLEMENT BECAUSE THE RETURNS ON THEIR THREE SEPARATE ACCOUNTS HAD DIFFERING RATES OF RETURN. THE TIMEFRAME IN CONSIDERATION WAS JANUARY 1, 2014 THROUGH MARCH 31, 2014. Broker Comment: THE CLIENTS OPENED TWO IRAS AND ONE JOINT ACCOUNT WITH BOSC IN DECEMBER 2013. THE TOTAL OF THE IRA ASSETS ARE ROUGHLY $240,000 WHILE THE JOINT ACCOUNT HAS A TOTAL VALUE OF APPROXIMATELY $700,000. DURING THE 1ST QUARTER OF 2014, THE IRAS HAD A HIGHER RATE OF RETURN THAN THE JOINT ACCOUNT. WITHOUT CONSIDERING THE VAST DIFFERENCE IN THE UNDERLYING INVESTMENTS OF THE ACCOUNTS, THE CLIENTS ALLEGED THE ONLY EXPLANATION FOR THE DISCREPANCY WAS THAT IT WAS A CASE OF EMBEZZLEMENT. AN INTERNAL INVESTIGATION FOUND NO WRONGDOING AND THAT ALL MONIES WERE ACCOUNTED FOR.
Date: December 31, 2012 Category: Customer Dispute Allegations: CUSTOMER STATES HE WANTED TO PURCHASE AND THOUGHT HE PURCHASED A CERTIFICATE OF DEPOSIT WHEN HE VISITED THE REPRESENTATIVE. HE REALIZED LATER THAT THE REPRESENTATIVE INVESTED HIS MONEY IN A 6 YEAR FIXED INDEX ANNUITY. THE TRANSACTION OCCURED ON MARCH 13, 2012. Damage Amount Requested: $20,000.00 Broker Comment: THIS HAS BEEN DENIED BASED UPON REVIEW OF THE APPLICATION AND DISCLOSURE PAPERWORK BEING IN GOOD ORDER; ALONG WITH REVIEW OF A STATEMENT BY THE REP DETAILING THE INTERACTION WITH THE CLIENT ON THIS TRANSACTION.
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