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The Thornwater Company, L.P.

The Thornwater Company, L.P. (CRD #36195, New York, New York) received a censure and fine of $40,000. In addition, the firm was fined an additional $2,500, jointly and severally with an individual. According to the findings, the firm failed to report customer settlements and statistical and summary information regarding customer complaints to the NASD. The complaint also stated that the firm, acting through an individual, failed to develop and administer written training plans in accordance of the NASD’s Continuing Education Program. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10000061)

Did The Thornwater Company, L.P. manage your investments?



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