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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062526201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: B. Riley Wealth Management (Respondent) Member Firm CRD No. 2543 Pursuant to FINRA Rule 9216, Respondent B. Riley Wealth Management (BRWM) 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