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.
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