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.

On December 12, 2024, Seruya refused to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...