Our Staff has compiled our research into a database of FINRA Broker Disclosures for Thurston Springer Financial. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Joshua Kulback Simon | 2923912 | 7 | 12/24/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bradley Louis Rozema | 703960 | 4 | 08/05/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joshua Andrew Mazer | 1609648 | 4 | 02/11/2014 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Joshua Kulback Simon | 2923912 | 7 | 12/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bradley Louis Rozema | 703960 | 4 | 10/30/2013 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Craig Michael Connolly | 2816098 | 2 | 10/16/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Pauletta M Rist | 5714868 | 2 | 05/17/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathryn Ann Thieleke | 733223 | 1 | 04/05/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Pauletta M Rist | 5714868 | 2 | 11/09/2012 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jon Keith Stucker | 1094241 | 3 | 08/16/2012 | Customer Dispute | Denied | $55,000.00 | $0.00 | See FINRA Report |