Government Shutdown Information

2024081399401 Angel L. Gulizio CRD 5311672 AWC vr (2024-1726273206987).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081399401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Angel L. Gulizio (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5311672 Pursuant to FINRA Rule 9216, Respondent Angel L. Gulizio submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078046101 Luis E. Nin CRD 4372587 AWC lp (2024-1726273207872).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078046101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Luis E. Nin (Respondent) Former General Securities Representative CRD No. 4372587 Pursuant to FINRA Rule 9216, Respondent Luis E. Nin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069319401 Morgan Stanley Smith Barney CRD 149777 AWC vr (2024-1726186826524).pdf

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.

Ensure Discrepancies are Reported or Balance is Paid

Firms must submit any amount owed on the Final Statement to FINRA by this day. Money can be deposited directly into the Renewal Account, or firms can rely on FINRA to transfer funds from the firm's Flex-Funding Account beginning Jan. 24. In order to take advantage of this transfer, the complete amount due for renewals must be available in your firm’s Flex-Funding Account. See the Renewal Payment Options page for more information.

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