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.

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.

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.