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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065252801 TO; Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Capital Markets, LLC (Respondent) Member Firm CRD No. 16518 Pursuant to FINRA Rule 9216, Respondent Patrick Capital Markets, LLC 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. 2022073419203 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Philip King (Respondent) Former General Securities Principal CRD No. 1590508 Pursuant to FINRA Rule 9216, Respondent Stephen Philip King 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. 2022074306901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roger Peter Daly (Respondent) Former General Securities Representative Former Government Securities Representative CRD No. 1423097 Pursuant to FINRA Rule 9216, Respondent Roger Peter Daly 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. 2023078093901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael T. Shoniker (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6402676 Pursuant to FINRA Rule 9216, Respondent Michael T. Shoniker submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.