OLIVIA A BOWLES-KYMER - Investment Adviser at MORGAN STANLEY

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Detailed ReportReport

OLIVIA A BOWLES-KYMER

OLIVIA ANNE BOWLES, OLIVIA BOWLES-KYMER, OLIVIA BOWLES KYMER

CRD#: 2159287

Investment Adviser

Broker

MORGAN STANLEYCRD#: 149777

2725 Sand Hill Road
Menlo Park, CA 94025

Registration History

Disclosure(s)

View By:

12/12/2005

Regulatory

Final

Initiated By

NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT

Allegations

**12/12/05**STIPULATION OF FACTS AND CONSENT TO PENALTY FILED BY NYSE DIVISION OF ENFORCEMENT AND PENDING. (HEARING REQUESTED DECEMBER 9, 2005). VIOLATION(S): CONSENTED TO FINDINGS THAT SHE: 1.ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE IN THAT SHE ALTERED RECORDS OF HER MEMBER FIRM EMPLOYER WITHOUT PROPER AUTHORITY BY ADDING INFORMATION AFTER THE FACT, SUCH AS INITIALS INDICATING TIMELY SUPERVISORY REVIEW, AND/OR BACK DATING DOCUMENTS. 2.CAUSED VIOLATIONS OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 17A-4 THEREUNDER, AND EXCHANGE RULE 440 IN THAT SHE CAUSED HER MEMBER FIRM EMPLOYER TO PRESERVE INACCURATE BOOKS AND RECORDS. SANCTION:CENSURE AND THREE (3) MONTH SUSPENSION FROM MEMBERSHIP, ALLIED MEMBERSHIP, APPROVED PERSON STATUS, AND FROM EMPLOYMENT OR ASSOCIATION IN ANY CAPACITY WITH ANY EXCHANGE MEMBER OR MEMBER ORGANIZATION, AND AN UNDERTAKING THAT SHE COOPERATE WITH THE DIVISION OF ENFORCEMENT AND TESTIFY TRUTHFULLY IN CONNECTION WITH ANY DISCIPLINARY PROCEEDINGS RELATING TO MATTERS SET FORTH IN THE STIPULATION AND CONSENT.

Resolution

Decision

Sanctions

Censure

Sanctions

Suspension

Sanctions

UNDERTAKING

Sanction Details

**5/17/06**HEARING PANEL DECISION ISSUED (HPD 06-27) (RECEIVED BY ENFORCEMENT ON MAY 17, 2006). I.VIOLATED NYSE RULE 476(A)(6) BY ENGAGING IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE IN THAT SHE ALTERED RECORDS OF HER MEMBER FIRM EMPLOYER WITHOUT PROPER AUTHORITY BY ADDING INFORMATION AFTER THE FACT, SUCH AS INITIALS INDICATING TIMELY SUPERVISORY REVIEW, AND/OR BACK DATING DOCUMENTS. 2.CAUSED VIOLATIONS OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 17A-4 THEREUNDER, AND NYSE RULE 440 IN THAT SHE CAUSED HER MEMBER FIRM EMPLOYER TO PRESERVE INACCURATE BOOKS AND RECORDS. CENSURE AND THREE (3) MONTH SUSPENSION FROM MEMBERSHIP, ALLIED MEMBERSHIP, APPROVED PERSON STATUS, AND FROM EMPLOYMENT OR ASSOCIATION IN ANY CAPACITY WITH ANY EXCHANGE MEMBER OR MEMBER ORGANIZATION, AND AN UNDERTAKING THAT SHE COOPERATE WITH THE DIVISION OF ENFORCEMENT AND TESTIFY TRUTHFULLY IN CONNECTION WITH ANY DISCIPLINARY PROCEEDINGS RELATING TO MATTERS SET FORTH IN THE STIPULATION AND CONSENT.

Broker Comment

MS. BOWLES-KYMER COOPERATED FULLY WITH HER PREVIOUS EMPLOYER AND THE NYSE DIVISION OF ENFORCEMENT IN CONNECTION WITH THIS MATTER.

License(s)

State Registrations

Alabama 11/15/2021

Montana 11/22/2021

Alaska 11/15/2021

Nebraska 11/19/2014

Arizona 5/25/2011

Nevada 4/6/2011

Arkansas 3/10/2011

New Hampshire 11/18/2021

California 6/1/2009

New Jersey 6/1/2009

California 11/23/2015

New Mexico 4/12/2016

Colorado 6/1/2009

New York 6/1/2009

Connecticut 3/14/2011

North Carolina 3/11/2011

Delaware 3/21/2011

North Dakota 11/16/2021

District of Columbia 3/15/2011

Ohio 11/15/2021

Florida 3/10/2011

Oklahoma 6/1/2009

Georgia 3/10/2011

Oregon 6/1/2009

Hawaii 6/14/2011

Pennsylvania 3/10/2011

Idaho 11/15/2021

Puerto Rico 11/15/2021

Illinois 3/21/2011

Rhode Island 11/18/2021

Indiana 11/12/2021

South Carolina 3/18/2011

Iowa 11/17/2021

South Dakota 3/11/2011

Kansas 11/12/2021

Tennessee 11/15/2021

Kentucky 10/16/2013

Texas 7/22/2011

Louisiana 11/16/2021

Texas 3/3/2020

Maine 3/11/2011

Utah 5/10/2011

Maryland 3/15/2011

Vermont 5/9/2011

Massachusetts 3/10/2011

Virginia 6/1/2009

Michigan 7/8/2011

Washington 3/10/2011

Minnesota 6/1/2009

West Virginia 11/22/2021

Mississippi 11/12/2021

Wisconsin 11/12/2021

Missouri 3/10/2011

Wyoming 3/10/2011

SRO Registrations

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.

Current Registration(s)

MORGAN STANLEY (CRD#:149777)

2725 Sand Hill Road, Menlo Park, CA 94025

Registered with this firm since 11/23/2015

MORGAN STANLEY (CRD#:149777)

2725 Sand Hill Road, Menlo Park, CA 94025

Registered with this firm since 6/1/2009

Previous Registration(s)

th hidden text	th hidden text	Name	Location
B	04/02/2007 - 06/01/2009	MORGAN STANLEY & CO. INCORPORATED (CRD#:8209)	PALO ALTO, CA
B	09/19/2002 - 04/02/2007	MORGAN STANLEY DW INC. (CRD#:7556)	PALO ALTO, CA
IA	07/08/1997 - 09/16/2002	SALOMON SMITH BARNEY INC. (CRD#:7059)	PALO ALTO, CA
B	12/11/1995 - 09/16/2002	SALOMON SMITH BARNEY INC. (CRD#:7059)	NEW YORK, NY
B	01/28/1995 - 10/11/1995	PAINEWEBBER INCORPORATED (CRD#:8174)	WEEHAWKEN, NJ
B	11/15/1994 - 01/28/1995	KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613)	NEW YORK, NY

MORGAN STANLEY & CO. INCORPORATED (CRD#:8209)

PALO ALTO, CA

04/02/2007 - 06/01/2009

MORGAN STANLEY DW INC. (CRD#:7556)

PALO ALTO, CA

09/19/2002 - 04/02/2007

SALOMON SMITH BARNEY INC. (CRD#:7059)

PALO ALTO, CA

07/08/1997 - 09/16/2002

SALOMON SMITH BARNEY INC. (CRD#:7059)

NEW YORK, NY

12/11/1995 - 09/16/2002

PAINEWEBBER INCORPORATED (CRD#:8174)

WEEHAWKEN, NJ

01/28/1995 - 10/11/1995

KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613)

NEW YORK, NY

11/15/1994 - 01/28/1995

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Disclosures

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