KIMBERLY ANN SPRINGSTEEN-ABBOTT

07/20/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTORITY In the matter of Department of Enforcement, Complainant, vs Kimberly Springsteen-Abbott, Holiday, FL, Respondent. DECISION Complaint No. 2011025675501r Dated: July 20, 2017 On remand from the Securities and Exchange Commission for further consideration. Held, findings and sanctions modified. Appearances For the Complainant: Leo F. Orenstein, Esq., Sean Firley, Esq., Department of Enforcement, Financial Industry Regulatory

Reference 2011025675501rdata-portal.finra.orgfinra.org

10/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kimberly Springsteen-Abbott (CRD No. 1367633), Respondent. Disciplinary Proceeding No. 2011025675501 Hearing Officer - RLP AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Kimberly Springsteen-Abbott ("Springsteen-Abbott' ') misused investor funds, in violation of FINRA Rule 2010. RESPONDENT AND JURISDICTION 1. Springsteen-Abbott entered the securities industry

03/31/2017: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 80360 / March 31, 2017 Admin. Proc. File No. 3-17560 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 REVI]EW OF DISCIPLINARY PROCEEDINGS Associated person of member firm appeals from FINRA disciplinary action finding that she misused investor funds by improperly allocating personal and

03/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KIMBERLY SPRINGSTEEN-ABBOT (CRD No. 1367633) Respondent. Disciplinary Proceeding No. 2011025675501 Hearing Officer - LOM EXTENDED HEARING PANEL DECISION March 30, 2015 As the general partner of investment funds sold by her broker-dealer firm and sponsored by its parent company, Respondent misused investor funds for three years by improperly allocating expenses to the investment funds that were not

02/26/2021: United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued December 1, 2020 Decided February 26, 2021 No. 20-1092 KIMBERLY SPRINGSTEEN-ABBOTT, PETITIONER v. SECURITIES AND EXCHANGE COMMISSION, RESPONDENT On Petition for Review of an Order of the Securities & Exchange Commission Dominic E. Draye argued the cause for petitioner. With him on the briefs was Steven M. Felsenstein. Daniel Staroselsky, Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for respondent. With him on the brief was John W. Avery, Deputy Solicitor.

02/07/2020: 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

08/23/2016: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of DECISION Department of Enforcement, Complainant, VS. Kimberly Springsteen-Abbott, Holiday, FL, Respondent. Complaint No. 2011025675501 Dated: August 23, 2016 Respondent misused investment fund monies by improperly allocating personal and other nonrelated expenses to the funds. Held, findings and sanctions affirmed. Appearances For the Complainant: Leo F. Oreinstein, Esq., Sean Firley, Esq.,

Reference 2011025675501data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org