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Robert Pearce
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KIMBERLY ANN SPRINGSTEEN-ABBOTT NAMED IN FINRA COMPLAINT FOR ALLEGEDLY MISUSING INVESTOR FUNDS
Kimberly Ann Springsteen-Abbott, a broker at Clearwater, FL based Commonwealth Capital Securities Corp., was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint alleging that she directed the misuse of investor funds to pay for...

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JOHN SEAN KENNEDY FINED AND SUSPENDED BY FIRNA FOR VIOLATING FIRM'S WRITTEN SUPERVISORY PROCEDURES
John Sean Kennedy, a former broker at Staten Island, New York based Chelsea Financial Services, submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he consented to, but did not admit to or deny, the entry of the Financial Industry Regulatory...

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DAVID MICHAEL GUTMAN AND CHRISTOPHER JOHN TYNDALL NAMED IN FINRA COMPLAINT FOR INSIDER TRADING
David Michael Gutman, a registered principal at New York, New York based JP Morgan Securities, and Christopher John Tyndall, a former broker at New York, New York based Meyers Associates, L.P., were named respondents in a FINRA complaint alleging that they ...

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WFG INVESTMENTS SUBPOENAED BY MASSACHUSETTS REGULATORS OVER SALES OF ALTERNATIVE INVESTMENTS TO SENIORS
WFG Investments, Inc. was subpoenaed by Massachusetts in connection with a sweep investigation, which is looking into sales practices involving alternative investments sold to seniors. WFG Investments' principal office is located in Dallas, Texas. On July 1...

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UBS SECURITIES SUBPOENAED BY MASSACHUSETTS REGULATORS OVER SALES OF ALTERNATIVE INVESTMENTS TO SENIORS
UBS Securities LLC was subpoenaed by Massachusetts in connection with a sweep investigation, which is looking into sales practices involving alternative investments sold to seniors. UBS Securities' principal office is located in New York, New York. On July ...

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SIGNATOR INVESTORS INC. SUBPOENAED BY MASSACHUSETTS REGULATORS OVER SALES OF ALTERNATIVE INVESTMENTS TO SENIORS
Signator Investors Inc. was subpoenaed by Massachusetts in connection with a sweep investigation, which is looking into sales practices involving alternative investments sold to seniors. Signator Investors' principal office is located in Boston, Massachuset...
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