2019063917801 Morgan Stanley Smith Barney LLC CRD 149777 AWC VA (2020-1599869969493).pdf

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.

2019061646403 Yvonne M. Nirelli CRD 1364313 AWC jlg (2020-1599869969481).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061646403 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Yvonne M. Nirelli, Respondent General Securities Representative, Investment Company and Variable Contracts Products Representative, and Investment Company Products/Variable Contracts Principal CRD No. 1364313 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Yvonne M.

SR-FINRA-2020-024

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to eliminate the Order Audit Trail System (“OATS”) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) once members are effectively reporting to the consolidated audit trail (“CAT”) and the CAT’s accuracy and reliability meet certain standards.

2019063293701 Michael Edward Feeley CRD 4439025 AWC sl (2020-1599783569692).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063293701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Edward Feeley, Respondent Former Registered Representative CRD No. 4439025 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Michael Edward Feeley (Feeley) 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

2018060262801 Barry Hallman CRD 6618538 AWC sl (2020-1599783569822).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060262801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barry Hallman, Respondent Former Non-Registered Associated Person CRD No. 6618538 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Barry Hallman (“Hallman”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059950301 Christopher Reid CRD 2341418 AWC sl (2020-1599783569598).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059950301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Reid, Respondent Former Registered Representative CRD No. 2341418 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Christopher Reid submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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