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UPDATE! Kirsten Flynn Hawkins Barred From Securities Industry

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26
Mar

UPDATE! Kirsten Flynn Hawkins Barred From Securities Industry

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Kirsten Flynn Hawkins and SunTrust Investment Services Inc.

Have you lost money with Kirsten Flynn Hawkins from Staunton, Virginia?  We previously blogged that on January 16, 2015, Kirsten Hawkins pled guilty to three counts of wire fraud in the Western District of Virginia in Lynchburg.  Hawkins’ plea also called for restitution of $500,000 for victims, and her sentencing hearing is expected for May 5.  Hawkins was alleged to have transferred money from her victims’ accounts to her own.  The money was allegedly used to pay for personal expenses, including utilities, rent, travel, jewelry, and dining out.

As an update, FINRA (the Financial Industry Regulatory Authority) has barred Kirsten Hawkins from the securities industry for failing to respond to FINRA’s investigation into these allegations.

Kirsten Flynn Hawkins was a financial advisor and registered representative of SunTrust Investment Services Inc. from 2003 to December 2014.  Hawkins worked at a SunTrust Bank branch in Staunton, Virginia.  She previously filed for bankruptcy in 2011.

Brokerage firms like SunTrust Investment Services have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Our attorneys have represented hundreds of investors who have been defrauded by their financial advisor or stockbroker.  While we have offices in Denver and the Seattle area, we have also previously represented clients from Virginia.  If you have lost money with Kirsten Flynn Hawkins, SunTrust Investment Services, or SunTrust Bank and want to hear about ALL legal options, please visit https://www.israelsneuman.com and go to our CONTACT page or call us at 720-599-3505.

Click to view:  Hawkins FINRA AWC

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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