Sharon Gonzales Hattenstein (CRD #6739523) Has a Judgment / Lien Disclosure on FINRA BrokerCheck

Sharon Gonzales Hattenstein (CRD #6739523) is a broker with a judgment / lien disclosure on FINRA BrokerCheck. We reviewed her BrokerCheck report on April 16, 2026. It reflects one judgment / lien disclosure. If you invested with Sharon Gonzales Hattenstein and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Judgment / Lien

Sharon Hattenstein’s FINRA BrokerCheck Report reflects one judgment / lien disclosure. A summary of the disclosure is below:

On February 11, 2026, Sharon Hattenstein’s FINRA BrokerCheck Report disclosed a civil judgment / lien for $23,195.13 in favor of Capital One NA. FINRA BrokerCheck states the matter was filed in Baldwin County Court in Bay Minette, Alabama, under docket number 2235955. The disclosure lists the judgment as outstanding. Hattenstein’s broker statement says a payment plan began on February 20, 2026 and is scheduled to continue monthly through September 20, 2029, unless satisfied earlier.

Rule Summary #1: FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration)

FINRA Rule 1122 bars associated persons from filing registration information with FINRA that is incomplete or inaccurate so as to be misleading. Judgment and lien events are part of the registration record. Accurate reporting matters because investors and regulators rely on that record.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain and enforce written supervisory procedures that are reasonably designed to achieve compliance with securities laws and FINRA rules. When a representative has a reportable financial event, firms need procedures to review the disclosure and keep records current.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

1. Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

2. Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

3. Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

4. Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on her FINRA BrokerCheck report, Sharon Hattenstein:

Is currently registered with Allstate Financial Services, LLC.

She has passed the Securities Industry Essentials (SIE) exam. Sharon Hattenstein has also passed Series 6TO and Series 63.

No previous securities firms are listed in her BrokerCheck report.

Kurta Law Can Help

If you have worked with Sharon Hattenstein and you have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Security Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.