Morgan Stanley Smith Barney LLC

12/30/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062530701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC (Respondent) Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216, Respondent Morgan Stanley Smith Barney LLC (Morgan Stanley) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2019062530701data-portal.finra.orgfinra.org

02/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110303983-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2011030398301data-portal.finra.orgfinra.org

02/25/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO: 20120341422-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement oft he alleged rule violations

Reference 2012034142201finra.orgdata-portal.finra.org

06/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025479301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC (BD No. 149777) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Morgan Stanley Smith Barney LLC ("MSSB" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2011025479301finra.orgdata-portal.finra.org

05/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT ND. 20110281827-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011028182701data-portal.finra.orgfinra.org

11/17/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049857301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Morgan Stanley Smith Barney, LLC, Respondent Member Firm BD. No. 149777 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Morgan Stanley Smith Barney, LLC (“MSSB” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the

Reference 2016049857301data-portal.finra.orgfinra.org

12/22/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069495301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC (Respondent) Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216, Respondent Morgan Stanley Smith Barney LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Morgan Stanley alleging violations based on the same factual findings described in this AWC.

Reference 2021069495301finra.orgdata-portal.finra.org

02/15/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065102001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC (Respondent) Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216, Respondent Morgan Stanley Smith Barney LLC (Morgan Stanley) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2020065102001data-portal.finra.orgfinra.org

11/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130370251-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013037025101finra.orgdata-portal.finra.org

08/22/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120347147-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2012034714701data-portal.finra.orgfinra.org

02/29/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130379217-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2013037921701data-portal.finra.orgfinra.org

12/26/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041196601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent CD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Morgan Stanley Smith Barney LLC ("Morgan Stanley," the "Firm," ir "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2014041196601data-portal.finra.orgfinra.org

06/18/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090188410 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC ("MSSB" or the "Firm"), CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, MSSB submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

Reference 2009018841002finra.orgdata-portal.finra.org

05/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215694-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2010021569401data-portal.finra.orgfinra.org

04/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110264460-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2011026446001data-portal.finra.orgfinra.org

11/16/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077632501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC (Respondent) Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216, Respondent Morgan Stanley Smith Barney LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2023077632501data-portal.finra.orgfinra.org

08/12/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063917801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC, Respondent Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Morgan Stanley Smith Barney LLC ("Morgan Stanley" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2019063917801data-portal.finra.orgfinra.org

07/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029683301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Morgan Stanley Smith Barney LLC ("MSSB" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2011029683301finra.orgdata-portal.finra.org

10/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031184001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC (BD No. 149777), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Morgan Stanley Smith Barney LLC ("MSSB" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2012031184001finra.orgdata-portal.finra.org

06/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120334467-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2012033446701data-portal.finra.orgfinra.org

12/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042651801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney, Respondent Member Firm BD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney (''MSSB" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2014042651801data-portal.finra.orgfinra.org

sec.govsec.gov

11/22/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016051634802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC (Respondent) Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216, Respondent Morgan Stanley Smith Barney LLC (Morgan Stanley or the firm) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2016051634802finra.orgdata-portal.finra.org

10/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140431359-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the ''firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014043135901data-portal.finra.orgfinra.org

10/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150441008-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC ("MSSB", the "Firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2015044100801finra.orgdata-portal.finra.org

06/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029749101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC (BD No. 149777), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC ("MSSB" or the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2011029749101data-portal.finra.orgfinra.org

03/25/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047758201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm" or "Morgan Stanley") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2015047758201data-portal.finra.orgfinra.org

09/25/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048805501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Morgan Stanley Smith Barney LLC, Respondent CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Morgan Stanley Smith Barney LLC (“Morgan Stanley,” the “Firm” or “Respondent”) submit this Letter of Acceptance, Waiver and Consent(“AWC”) for the purpose

Reference 2016048805501data-portal.finra.orgfinra.org

08/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030674102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC ("MSSB" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011030674102data-portal.finra.orgfinra.org

05/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032646901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Morgan Stanley Smith Barney LLC, ("MSSB" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2012032646901data-portal.finra.orgfinra.org

12/26/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060038701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC, Respondent Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Morgan Stanley Smith Barney LLC ("MSSB" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018060038701finra.orgdata-portal.finra.org

12/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140413996-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan-Stanley Smith Barney LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014041399601data-portal.finra.orgfinra.org

08/13/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069319401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC (Respondent) Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216, Respondent Morgan Stanley Smith Barney LLC (Morgan Stanley) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2021069319401data-portal.finra.orgfinra.org

07/07/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052995901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC, Respondent Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Morgan Stanley Smith Barney LLC (“Morgan Stanley,” the “Firm,” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged

Reference 2017052995901finra.orgdata-portal.finra.org

02/15/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140402891-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC'') for the purpose of proposing a settlement of the alleged rule violations

Reference 2014040289101finra.orgdata-portal.finra.org