2023077632501 Morgan Stanley Smith Barney LLC CRD 149777 AWC (2023-1702772394737).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023077632501
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, Respondent Morgan Stanley Smith Barney LLC submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
2020068885901 Keith M. Curtis, CRD 4798755 AWC (2023-1702772394468).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068885901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Keith M. Curtis (Respondent)
Former General Securities Representative
CRD No. 4798755
Pursuant to FINRA Rule 9216, Respondent Keith M. Curtis submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
Information Notice 11/20/23
Summary
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 24, 2023 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options.
Jon Kroeper, EVP-Quality of Markets, to Depart FINRA
Jon Kroeper, Executive Vice President, Quality of Markets, is leaving FINRA, effective at year end, to pursue other opportunities.
2021071685401 Jeffrey A. Russell CRD 2516610 AWC vr (2023-1702772394633).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071685401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeffrey A. Russell (Respondent)
Fonner General Securities Representative and Former General Securities Sales
Supervisor
CRD No. 2516610
Pursuant to FINRA Rule 9216, Respondent Jeffrey A. Russell submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.