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2017054925801 Chardan Capital Markets, LLC CRD 120128 AWC sl (2020-1596759570646).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054925801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chardan Capital Markets, LLC, Respondent Member Firm CRD No. 120128 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Chardan Capital Markets, LLC (the “Firm,” “Respondent” or “Chardan”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule

2020065023901 Karen Lynn Carlin CRD 5417828 AWC sl (2020-1596759570520).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065023901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Karen Lynn Carlin, Respondent Non-Registered Fingerprint Individual CRD No. 5417828 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Karen Lynn Carlin submits this Letter of Acceptance. Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017053076601 Morgan Stanley & Co LLC CRD 8209 AWC sl (2020-1596759569783).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053076601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Morgan Stanley & Co. LLC, Respondent Member Firm CRD No. 8209 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Morgan Stanley & Co. 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.