Tag Archives: Kimberly Springsteen-Abbott

Commonwealth Funds CEO Barred For Misappropriation

September 09, 2016  |   Posted by :   |   Misappropriation of Funds, Mutual Fund Fraud, Stockbroker Theft   |   0 Comments

Kimberly Springsteen-Abbott, of Holiday, Florida, the chairman and chief executive officer of Commonwealth entities, including Commonwealth Funds, was fined $100,000.00 and barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity in connection with a FINRA National Adjudicatory Council Decision which affirmed findings that Springsteen-Abbott misappropriated investor funds. Department of […]

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