Nex Systems
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Albert Mosseri

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/16/2024: 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.

    Reference 2023079727001data-portal.finra.orgfinra.org

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