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1 May 2012, 8:36 am
Citigroup, Morgan Stanley, UBS and Wells Fargo agreed to pay fines of more than $9 million to settle cases tied to exchange-traded funds. [read post]
1 May 2012, 2:00 am
In addition, we cover two decisions from the First Department: one addressing the heightened standard for fraud claims brought by sophisticated investors, and another affirming the dismissal of a Morgan Stanley shareholder derivative suit alleging excessive executive compensation. [read post]
30 Apr 2012, 12:18 pm
Peterson, a former executive at Morgan Stanley, with violating the Foreign Corrupt Practices Act (FCPA) as well as securities laws for investment advisers by secretly acquiring millions of dollars worth of real... [read post]
30 Apr 2012, 7:33 am
Morgan Stanley wasn't charged, and it appears to have been a model corporate citizen. [read post]
30 Apr 2012, 7:33 am
Morgan Stanley wasn't charged, and it appears to have been a model corporate citizen. [read post]
28 Apr 2012, 8:50 pm
Metlife (MET) is suing Morgan Stanley (MS) for securities fraud. [read post]
27 Apr 2012, 5:00 am
Periodically Morgan Stanley required Mr. [read post]
26 Apr 2012, 9:00 pm
Wednesday saw a significant FCPA and investment adviser fraud case against a former Morgan Stanley executive, who settled the matter. [read post]
26 Apr 2012, 8:36 am
Peterson pled guilty to one count of conspiring to evade Morgan Stanley's internal controls. [read post]
26 Apr 2012, 5:41 am
WSJ FCPA: A former head of Morgan Stanley’s real-estate investing operations in China pleaded guilty Wednesday to violating a U.S. anticorruption law in a case that involved alleged bribes to a Chinese official in exchange for business. [read post]
25 Apr 2012, 7:55 pm
But in fact emerging markets have shadowed each other surprisingly closely in recent years, as Ruchir Sharma of Morgan Stanley points out in his new book, “Breakout Nations”. [read post]
25 Apr 2012, 5:16 pm
A former high-ranking Morgan Stanley real estate executive in China pleaded guilty on Wednesday to violating federal anticorruption laws as the American government continues to crack down on citizens who commit fraud and bribery abroad. [read post]
19 Apr 2012, 6:56 pm
A credit rating downgrade could hurt the bank's huge derivatives business, forcing the group to come up with billions of extra dollars. [read post]
19 Apr 2012, 1:51 pm
Zangari, No. 10-4546, the defendant, a securities broker in the securities lending departments at Morgan Stanley and then Bank of America, received kickbacks in exchange for entering into stock-loan transactions. [read post]
18 Apr 2012, 5:00 am
” Goldman also allegedly “refused to concede Morgan Stanley should be paid anything if the spin-off, rather than the [m]erger, was consummated. [read post]
14 Apr 2012, 1:51 pm
Featuring: Isabelle Fymat - General Partner, Crosslink Capital Glen Kacher - President, Light Street Capital Management, LLC Brenden Smith – Managing Partner, Cypress Capital Management GP, LLC Moderated by: Dietrich Doerbeck – Morgan Stanley Equity Sales APRIL 17, 2012 ? [read post]
13 Apr 2012, 11:57 am
The panel will be comprised of Mitchell Bompey, Executive Director in the Legal and Compliance Division of Morgan Stanley Smith Barney; Scott Peterson, Co-founder of Relay Station Social Media LLC; and Thomas M. [read post]
12 Apr 2012, 8:55 am
In addition, the Federal Reserve announced that Morgan Stanley will be subject to monetary penalties, and Morgan Stanley also acknowledged that it will be obligated to satisfy any civil money penalty that the Board of Governors may assess against Saxon Mortgage for its conduct during that time period. [read post]
12 Apr 2012, 8:55 am
In addition, the Federal Reserve announced that Morgan Stanley will be subject to monetary penalties, and Morgan Stanley also acknowledged that it will be obligated to satisfy any civil money penalty that the Board of Governors may assess against Saxon Mortgage for its conduct during that time period. [read post]
10 Apr 2012, 2:15 pm
., Shin spent six years at Deutsche Bank, Shinsei Bank, and Morgan Stanley (all in Tokyo). [read post]
