Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary

This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protecting investors.

2021069376701 Thurston Springer Financial CRD 8478 AWC vr (2025-1746058804988).pdf

From June 2020 through August 2021, Thurston Springer failed to establish, maintain, and enforce written policies and procedures reasonably designed to achieve compliance with Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 (Regulation Best Interest or Reg BI). Separately, Thurston Springer has failed, since June 2020, to establish and maintain a supervisory system reasonably designed to achieve compliance with its obligations to file and deliver customer relationship summaries (Form CRS). As a result, Thurston Springer violated Reg BI and FINRA Rules 3110 and 2010.
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