2017053791901 J.P. Morgan Securities LLC CRD 79 AWC jlg (2020-1579997974299).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053791901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J.P. Morgan Securities LLC, Respondent Member Firm CRD No. 79 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent J.P. Morgan Securities LLC ("JPMS" 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.

2018060039001 Citigroup Global Markets Inc. CRD 7059 AWC jlg (2020-1579997973763).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060039001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citigroup Global Markets Inc. ("CGMI" 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.

2018058621001 LPL Financial LLC CRD 6413 AWC jlg (2020-1579997974266).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058621001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: LPL Financial LLC, Respondent Member Firm CRD No. 6413 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent LPL Financial LLC ("LPL" 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.

2018060038701 Morgan Stanley Smith Barney LLC CRD 149777 AWC jlg (2020-1579997974492).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060038701 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 of FINRA's Code of Procedure, Respondent Morgan Stanley Smith Barney LLC ("MSSB" 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.
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