Coreen Kraysler: SEC Investigates NetCapital Securities Advisor

Boston, Massachusetts financial advisor Coreen Kraysler (CRD# 2699785) is under investigation for alleged violation of securities laws. Financial Industry Regulatory Authority records show that she is registered as a broker with NetCapital Securities, having previously been registered with Livingston Securities.

Ms. Kraysler’s BrokerCheck report discloses the Securities and Exchange Commission’s investigation into her conduct. Filed in March 2026, the disclosure states that the investigation concerns “potential violation of securities laws.”

The disclosure does not specify which potential causes of action are alleged against Ms. Krayser. For reference, however, many industry rules protect investors against numerous potential forms of misconduct. FINRA Rule 2111, for instance, stipulates that brokers and firms must “have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile.” Brokers who lack that reasonable basis, or who recommend transactions that aren’t suitable for their customers, are considered to have violated Rule 2111. FINRA Rule 2010, meanwhile, requires FINRA-associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Many types of unethical conduct, including the mismanagement of accounts or the failure to follow a customer’s instructions, may be found to constitute violations of FINRA Rule 2010, provided the alleged activities occur “in the conduct of [the member’s] business.” Brokers who violate these rules may be held liable for damages and/or subject to disciplinary action by securities regulatory authorities.

According to the Financial Industry Regulatory Authority, Coreen Krayser holds 14 years of securities industry experience. Based in Boston, Massachusetts, she has been registered as a broker with NetCapital Securities since November 2024. Her past registrations include Livinsgton Securities, Signator Investors, and John Hancock Mutual Life Insurance Company. Her credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; and the General Securities Principal Examination, or Series 24. She holds 52 state licenses. (Information current as of May 20, 2026.)

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