2023079727001 Albert Mosseri CRD 5624212 AWC vr (2024-1729124405285).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079727001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Albert Mosseri (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 5624212
Pursuant to FINRA Rule 9216, Respondent Albert Mosseri submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.