2018058988801 Paolo Monaco CRD 6335521 AWC sl (2020-1584836371929).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058988801 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paolo Monaco. Respondent Former Registered Representative CRD No. 6335521 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Paolo Monaco 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 the

2017053128501 Morgan Stanley & Co. LLC CRD 8209 AWC sl (2020-1584749965608).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053128501 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 (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.
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