2021071179201 Justin Anderson CRD 6389728 AWC lp (2022-1671841211694).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071179201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Justin Allen Anderson (Respondent)
Former General Securities Representative
CRD No. 6389728
Pursuant to FINRA Rule 9216, Respondent Justin Allen Anderson submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2016051634802 Morgan Stanley Smith Barney LLC CRD 14977 AWC lp (2022-1671754811402).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2016051634802
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 (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.
2020066887401 Jesus Manuel Bravo CRD 2838164 AWC gg (2022-1671754812029).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066887401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jesus Manuel Bravo (Respondent)
General Securities Representative
CRD No. 2838164
Pursuant to FINRA Rule 9216, Respondent Jesus Manuel Bravo submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.