Soreide Law Group, based in Florida, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, November 2016.”
Kimberly Springsteen-Abbott (CRD #1367633, Holiday, Florida)
Alternate Names: KIMBERLY ANN BORHAM, KIMBERLY ANN CRAIN, KIMBERLY ANN MACDOUGALL, KIMBERLY ANN SPRINGSTEEN
was barred by FINRA and ordered to disgorge $208,953.75 plus prejudgment interest, to FINRA. The NAC imposed the sanctions following appeal of an OHO decision.
These sanctions were based on findings that allegedly, as the general partner of investment funds sold by her member firm and sponsored by its parent company, Kimberly Springsteen-Abbott misused investor funds for three years by improperly allocating $208,953.75 in credit card charges to the investment funds to which the funds’ paid for personal travel, family meals, toys, home décor and other expenses that were not related to the funds’ business.
This matter has been appealed to the SEC and the sanctions, except for the bar, are not in effect pending review.
(FINRA Case #2011025675501)
FINRA has permanently barred Kimberly Springsteen-Abbott from acting as a broker or otherwise associating with firms that sell securities to the public. She was registered in the securities industry for 27 years and the most recent firm she was registered with was:
04/1997 - 08/2016 COMMONWEALTH CAPITAL SECURITIES CORP. - CLEARWATER, FL
If you suffered losses due to the recommendations or actions of the former Commonwealth Capital Securities Corp. of Clearwater, Florida, broker Kimberly Springsteen-Abbott, call Soreide Law Group, based in Florida, for a no-cost consultation regarding the possible recovery of your investments at: 888-760-6552.
Soreide Law Group operates on contingency and represents our clients nationally before FINRA.
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