FINRA Files Complaint Vs. Commonwealth Capital Broker Kimberly Ann Springsteen-Abbott

Clearwater, Florida

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.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Former Suntrust Investment Services Broker Kenneth Andrew Mauchin Barred by FINRA

Sanford, Florida

In FINRA Case #2011028452701 ,  Kenneth Andrew Mauchin, a former Suntrust Investment Services Broker from Sanford, Florida, was barred from association with any FINRA member in any capacity. The sanction was based upon findings that Mauchin withdrew $23,750 from customer accounts and used the funds to purchase cashier’s checks that he deposited into an account that he controlled. The findings also state that Mauchin failed to appear for FINRA on the record testimony.

If you have questions about investment losses or the way your brokerage account has been handled, please contact us to discuss your legal rights.

Rex Securities Law , located in Boca Raton, FL, provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

561 391 1900

 

FINRA Bars Brookfield, WI, Broker Robert John Beihoff

Brookfield, Wisconsin

To resolve allegations that he effected securities transactions totaling over $27 million dollars in customer’s securities accounts that were held away from, and owned by,  non-customers of his member firms, Robert John Beihoff of Brookfield, Wisconsin, submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. FINRA Case #2010025512301.

According to FINRA records, Beihoff was registered with the following firms:

  • H. Beck, Inc.                             12/2009-12/2010
  • SII Investments, Inc.                 01/1998-12/2009

If you have questions about investment losses or the way your brokerage account has been handled, please contact us to discuss your legal rights.

Rex Securities Law , located in Boca Raton, FL, provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

561 391 1900

 

McKinney Texas Broker Conrad Tambalo Bautista Barred by FINRA

Conrad Tambalo Bautista, a registered representative from McKinney, Texas, submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA (Financial Industry Regulatory Authority) member in any capacity. The AWC was entered into to resolve a FINRA investigation into whether Bautista may have been engaged in fraudulent investment schemes, been involved in undisclosed outside business activities and/or private securities transactions, borrowed money from customers, and/or failed to disclose an Internal Revenue Tax Lien on his Form U4.

According to FINRA records which may be accessed here, Bautista previously was registered with the following broker dealers in and around Richardson, Texas:

  • Cuso Financial Services                          01/2010-03/2013
  • SWBC Investment Services                    01/2007-12/2009
  • Financial Network Investment  Corp      07/2004-12/2006

If you have questions about investment losses or the way your brokerage account has been handled, please contact us to discuss your legal rights.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

 

Deerfield, Florida Broker Andrew Lewis Pittman Barred by FINRA

Deerfield Beach, Florida

In a recent FINRA case (#2011029315301), Andrew Lewis Pittman, a broker from Deerfield Beach, Florida entered into an Acceptance Waiver and Consent with the Financial Industry Regulatory Authority, and agreed to a bar from the industry.

According the FINRA document, during the course of an ongoing FINRA investigation regarding allegations that Pittman had improperly used a customer’s funds and was appointed Power of Attorney for the customer, Pittman refused to provide on-the-record testimony as required by FINRA rules.

The FINRA document indicates that Pittman was employed by Sammons Securities most recently. He previously worked for Questar Capital from August 2011 until October 2011, when Questar terminated him. Prior to his short stay at Questar, Pittman worked for Allstate Financial from June 2007 through August 2011.

If you have questions about the way your brokerage account has been handled, call Rex Securities Law for a no charge consultation.

Rex Securities Law , located in Boca Raton, FL, provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

561 391 1900