FINRA filed a complaint against Kimberly Ann Springsteen-Abbott (Case # 2011025675501) alleging that she directed the misuse of more than $344,000 in investor funds to pay for various credit card charges that were not related to legitimate business purposes of the funds. The complaint alleges that the charges relating to the misused funds consisted of personal expenses for Springsteen-Abbott and another individual. The complaint also alleges that in connection with a FINRA examination, Springsteen-Abbott and her member firm provided back dated documentation.
According to FINRA records, Springsteen-Abbott is currently registered with Commonwealth Capital Securities of Clearwater, Florida.
If you have questions about investment losses or the way your brokerage account has been handled, please contact us to discuss your legal rights.
Free initial consultation.
561 391 1900
Disclosure: I have no positions in any stocks mentioned, and no plans to initiate any positions within the next 72 hours.