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Louis Kreisberg Barred By FINRA Following Refusal to Cooperate in FINRA Investigation

Jul 26, 2021 AWC

Louis Kreisberg (CRD #: 1352881), a broker formerly registered with Wavecrest Securities, has been barred by FINRA, according to his BrokerCheck record, accessed on July 8, 2021.

On June 3, 2021, Louis Kreisberg entered into an Acceptance, Waiver, and Consent agreement (AWC) with FINRA in which he consented to the findings that he failed to provide documents in connection with a FINRA investigation. FINRA was investigating potential undisclosed private securities transactions. Brokers are not allowed to recommend securities outside of their firms.

As part of the terms of the AWC, Kreisberg consented to an indefinite bar.

You can read a copy of the AWC here.

Louis Kreisberg Background Information

Kreisberg has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

Louis Kreisberg has worked for the following firms:

  • Wavecrest Securities (CRD #: 160135)
  • Pickwick Capital Partners (CRD #: 130672)
  • Trump Securities (CRD #: 47107)
  • Joseph Capital (CRD #: 120414)
  • United Planners’ Financial Services of America Limited Partner (CRD #: 20804)
  • John Hancock Mutual Life Insurance Company (CRD #: 5181)
  • John Hancock Distributors (CRD #: 468)
  • Nathan & Lewis Securities (CRD #: 8503)
  • Guardian Investor Services Corporation (CRD #: 66535)
  • Nathan & Lewis Securities (CRD #: 8503)

Kurta Law Can Help 

If you worked with Louis Kreisberg and you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email jkurta@kurtalawfirm.com.