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

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.

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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063918601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony Glenn Hall, Respondent Former General Securities Representative CRD No. 5546165 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Anthony Glenn Hall (“Respondent”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065734401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Elizabeth A. Morrell, Respondent Former General Securities Representative and Investment Company and Variable Products Representative CRD No. 4905003 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Elizabeth A. Morrell submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the