2021073167701 James Dunn CRD 6084258 AWC gg (2022-1663374009370).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021073167701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: James Dunn (Respondent)
Former General Securities Representative
CRD No. 6084258
Pursuant to FINRA Rule 9216, Respondent James Dunn submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2019061500001 Morgan Stanley Co. LLC CRD 8209 AWC lp (2022-1663374009790).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061500001
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.
2022075235602 Corrie Ann Mitchell CRD 7221410 AWC lp (2022-1663374010292).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075235602
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Corrie Ann Mitchell (Respondent)
Former General Securities Representative
CRD No. 7221410
Pursuant to FINRA Rule 9216, Respondent Corrie Ann Mitchell submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.