Special Notice – 2/14/20

Summary

FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that facilitates vibrant capital markets. The purpose of this Notice is to:

2011025675501 SEC Admin Proc File No 3-17560r Kimberly Springsteen-Abbott CRD 1367633 SEC Decision sl (2020-1584145185251).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 88156 / February 7, 2020 Admin. Proc. File No. 3-17560r In the Matter of the Application of KIMBERLY SPRINGSTEEN-ABBOTT For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING Associated person of member firm appeals from FINRA disciplinary action finding that she misused investor funds by improperly allocating personal expenses, control person
Subscribe to