LOUIS PAUL KREISBERG
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/03/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064980201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Louis P. Kreisberg (Respondent) Former General Securities Representative and Investment Banking Representative CRD No. 1352881 Pursuant to FINRA Rule 9216, Respondent Louis P. Kreisberg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064980201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1352881 |
Other names1
Also known as1
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