Between August 2023 and April 2024, Kline made payments totaling approximately $180,000 from funds credited to his Morgan Stanley brokerage account as a result of multiple transfers sent from his personal bank account, when he knew that his personal bank account lacked funds to cover the transfers. By doing so, Kline violated FINRA Rule 2010.

Abdo-Brownsberger provided inaccurate information to her firm when seeking approval to serve as the trustee of a private foundation funded with assets from a customer’s estate, in violation of FINRA Rule 2010. Abdo-Brownsberger also opened a brokerage account for the foundation at a different member firm without prior written consent from Wells Fargo, in violation of FINRA Rules 3210 and 2010. For these violations, Abdo-Brownsberger is suspended for six months and fined $5,000.