KAI R. WALKER

11/15/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Kai R. Walker, General Securities Representative [CRD No. 4094767], Respondent Disciplinary Proceeding No. 2005000688601 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Kai R. Walker ("Walker") became registered with NASD on June 14, 2004. Walker was associated with Morgan Stanley DW Inc. ("MSDW" or "firm"), a member of NASD until termination on January 21, 2005, as a General

03/06/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KAI R. WALKER (CRD No. 4094767), Respondent. Disciplinary Proceeding No. 2005000688601 Hearing Officer-Andrew H. Perkins DEFAULT DECISION March 6, 2006 Respondent converted funds belonging to a customer and funds belonging to his employer, in violation of NASD Conduct Rules 2110 and 2330, and failed to respond to requests for information, in violation of NASD Conduct Rule 2110 and NASD Procedural Rule 8210. The Respondent is barred

Reference 2005000688601data-portal.finra.orgdata-portal.finra.orgfinra.org