FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074489202
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Sarvendra Harkishun (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 5703273
Pursuant to FINRA Rule 9216, Respondent Sarvendra Harkishun submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.