Government Shutdown Information

2019064747001 Patricia Ann Merrick CRD 2441292 AWC va (2020-1596845969248).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064747001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patricia Anne Merrick, Respondent Former Associated Person CRD No. 2441292 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Patricia Anne Merrick ("Merrick") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 20-23

Summary

For the past two years, FINRA has encouraged firms to keep their Risk Monitoring Analyst (formerly known as a “Regulatory Coordinator”) informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital assets, including digital assets that are non-securities.1 FINRA appreciates members’ cooperation with this request and is encouraging firms to continue to keep their Risk Monitoring Analyst abreast of their activities related to digital assets until July 31, 2021.

2017052995901 Morgan Stanley Smith Barney LLC CRD 149777 AWC sl (2020-1596845969038).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052995901 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,” the “Firm,” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged

2019062784701 Cynthia Ann Perry CRD 4597565 AWC sl (2020-1596845968814).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062784701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia Ann Perry, Respondent General Securities Representative CRD No. 4597565 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Cynthia Ann Perry (“Perry” or “Respondent”) 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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