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FINRA Files Complaint Vs. Commonwealth Capital Securities Broker

Jul. 15, 2013 3:58 PM ET
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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.

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