Former products representative barred for allegedly refusing to provide information and documents
Thurston Springer Financial censured and fined for alleged Reg BI and other compliance shortcomings
The firm failed to establish, maintain and enforce a supervisory system reasonably designed to ensure compliance with Reg BI. The firm’s WSPs discussed Reg
Free Trial
Register for free to keep reading.
To continue reading this article and unlock full access to GRIP, register now. You’ll enjoy free access to all content until our subscription service launches in early 2026.
- Unlimited access to industry insights
- Stay on top of key rules and regulatory changes with our Rules Navigator
- Ad-free experience with no distractions
- Regular podcasts from trusted external experts
- Fresh compliance and regulatory content every day
