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Commonwealth Capital Securities Corp.

Kimberly Springsteen- Abbott Sued by Regulator for Misuse of Investor Funds

Kimberly Springsteen- Abbott Sued by Regulator for Misuse of Investor Funds 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

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Five Brokerage Firms Order to Pay Another $10 Million On Non-Traded REIT Sales

Five Brokerage Firms Order to Pay Another $10 Million On Non-Traded REIT Sales 150 150 Rex Securities Law

As we have previously noted, regulators have already hit broker-dealers for big fines and damages for the sale of non-traded REITs: In May Massachusetts regulators order five firms to pay…

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

FINRA Files Complaint Vs. Commonwealth Capital Broker Kimberly Ann Springsteen-Abbott 150 150 Rex Securities Law

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…

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