2018056929901 Morgan Stanley & Co., LLC, CRD 8209 AWC gg (2022-1667002806220).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018056929901
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, Respondent Morgan Stanley & Co. LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021071205501 Nickolay V. Kukekov CRD 4981423 AWC gg (2022-1667002806212).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071205501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Nickolay V. Kukekov (Respondent)
Former General Securities Representative
CRD No. 4981423
Pursuant to FINRA Rule 9216, Respondent Nickolay V. Kukekov submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
18-04158(3).pdf
other
SR-FINRA-2022-027
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) to make the current clearly erroneous pilot program permanent and limit the circumstances under which clearly erroneous review would be available.