FINRA Announces Three New Governors on Its Board
FINRA announced today that Derrick Roman, former partner of PricewaterhouseCoopers LLP (PwC), and Gus Sauter, current member of FINRA’s Investment Committee, have been appointed as public governors on its Board of Governors. In addition, Naureen Hassan, President of UBS Americas and CEO of UBS Holdings, has been appointed as an industry governor to the Floor Member Governor seat.
2020065102001 Morgan Stanley Smith Barney LLC CRD 149777 AWC lp (2024-1710634814366).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065102001
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) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of
proposing a settlement of the alleged rule violations described below.
