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.

2022076173202 Rocio Tapia CRD 5523793 AWC vr (2024-1729124405582).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, W AIYER, AND CONSENT NO.2022076173202 TO: Department of Enforcement Financial Industry Regulatory Authority (F INRA) RE: Rocio Tapia (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5523 793 Pursuant to FINRA Rule 9216. Respondent Rocio Tapia submits this Letter of Acceptance, Waiver. and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2024082383001 Tracy M. Longstreet CRD 1768525 AWC vr (2024-1729124405549).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082383001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tracy M. Longstreet (Respondent) General Securities Representative CRD No. 1768525 Pursuant to FINRA Rule 9216, Respondent Tracy M. Longstreet 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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