2022074207801 Yuvraj Chauhan, CRD 6763782 AWC gg (2023-1674346799253).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074207801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Yuvraj Chauhan (Respondent)
Former General Securities Representative
CRD No. 6763782
Pursuant to FINRA Rule 9216, Respondent Yuvraj Chauhan submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2017056834001 Wells Fargo Securities, LLC CRD 126292 AWC gg (2023-1674346798587).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2017056834001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Wells Fargo Securities, LLC (Respondent)
Member Firm
CRD No. 126292
Pursuant to FINRA Rule 9216, Respondent Wells Fargo Securities, LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021069495301 Morgan Stanley Smith Barney LLC CRD 149777 AWC gg (2023-1674346798938).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069495301
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.