2019062271501 Harry Rosenberg CRD 2682841 AWC sl (2020-1603412368724).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062271501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harry Rosenberg, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 2682841 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Harry Rosenberg submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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