Coreen Sarah Kraysler (CRD #2699785) Has an Investigation Disclosure on FINRA BrokerCheck

Coreen Sarah Kraysler (CRD #2699785) is a broker with an investigation disclosure on FINRA BrokerCheck. We reviewed her BrokerCheck report on May 7, 2026. It reflects one pending investigation. If you invested with Coreen Kraysler and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investigation

Coreen Kraysler’s FINRA BrokerCheck Report reflects one investigation disclosure. A summary of the investigation is below:

On March 4, 2026, the United States Securities and Exchange Commission initiated an investigation. Coreen Kraysler FINRA BrokerCheck Report states the matter concerns a potential violation of securities laws. The report lists the investigation as pending.

Rule Summary #1: FINRA Rule 8210 (Provision of Information and Testimony)

FINRA Rule 8210 allows FINRA staff to request information, testimony, and records for investigations. It also requires members and associated persons to comply with those requests.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires high standards of commercial honor and just and equitable principles of trade. Investigation disclosures may raise questions about whether conduct met those standards.

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:

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.

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

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.

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, Coreen Kraysler:

Is currently registered with Netcapital Securities Inc.

Has passed the Securities Industry Essentials (SIE) exam. Coreen Kraysler has passed Series 7, Series 6, Series 24, and Series 63.

Was previously registered with firms that include Livingston Securities, LLC, Signator Investors, Inc., and John Hancock Mutual Life Insurance Company.

BrokerCheck also lists a Chartered Financial Analyst designation.

Kurta Law Can Help

Worked with Coreen Kraysler and have concerns about her activity? Kurta Law may be able to help review your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Securities 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. A lawyer can review the facts. The review may help explain possible next steps.