Morgan Stanley

Lessons from Ralph Lauren: Designing Better Ways to Manage Third Party Risk

by NAVEX Global on 5/21/2013

Trying to avoid the unusually strict import controls in Argentina and facilitate faster clearance of its products through customs, a subsidiary of Ralph Lauren Corp. was found to have bribed local officials between 2005 and...more

Second Circuit Further Curtails Duty of Prudence Claims in Saint Vincent Catholic Medical Centers v. Morgan Stanley

by Jennifer Clark, Angelo Savino | Cozen O'Connor on 5/8/2013

In a line of recent cases, the 2nd Circuit has limited ERISA plaintiffs’ claims for breach of the duty of prudence by holding that investments of benefit plan funds in employer securities pursuant to plans calling for such...more

Court Grants in Part Motions to Dismiss Allstate RMBS Lawsuits

by Orrick - Structured Finance Group on 3/28/2013

On March 15, Judge Eileen Bransten of the Supreme Court of the State of New York granted in part and denied in part motions to dismiss brought by Merrill Lynch, Deutsche Bank and Morgan Stanley entities (together Defendants)...more

Breaking Bad: When A Good Employee Goes Bad?

by Michael Volkov on 3/19/2013

No matter how strong a company’s compliance program, there is always a risk. No matter how many times employees are trained, complete certifications and are reminded of their FCPA compliance obligations, there is always a...more

DOJ Fraud Official Offers An Insider’s View Of The FCPA Resource Guide

by Pravin Rao, Lee Stein, Caryn Lara Trombino | Perkins Coie on 3/12/2013

Charles Duross, deputy chief of the Department of Justice’s (DOJ) Criminal Division, Fraud Section, offered white collar crime practitioners rare insight into the DOJ’s and the Security and Exchange Commission’s (SEC)...more

Internal Investigation Fees Awarded To Goldman Sachs

by Mona Amer, Mark Mermelstein | Orrick - Securities Litigation and Regulatory... on 3/5/2013

On Monday, February 25, Goldman Sachs won its bid to force former director Rajat K. Gupta to pay legal fees it incurred while investigating Gupta’s insider trading activities. In October 2012, Gupta was sentenced to two years...more

Transaction Monitoring Under the FCPA [Video]

by Thomas Fox on 1/31/2013

Transaction monitoring was mentioned in a couple of significant enforcement actions of 2012. I think that it will move to becoming a best practice in FCPA compliance programs. This video will explain how transaction...more

Levick Weekly - January 25th, 2013: Keystone Social Networks Are Taking On The Old-Boy Network-And Winning

by Richard S. Levick, Dan Rene, Michael Robinson | LEVICK on 1/28/2013

In This Issue: - Keystone Social Networks Are Taking on the Old-Boy Network—and Winning - Morgan Stanley Revelations Raise the Specter of 2008… Again - No Budget, No Pay Another Sign Of New Budget Scrutiny - Blogs...more

Morgan Stanley Revelations Raise The Specter Of 2008… Again

by Michael Robinson | LEVICK on 1/24/2013

This week, The New York Times’ Dealbook dragged the specter of 2008 back into the spotlight. A piece authored by ProPublica’s Jesse Eisinger shared “explosive” revelations about what some Morgan Stanley traders knew...more

Top Ten Enforcement Actions for 2012

by Thomas Fox on 1/8/2013

As we welcome in 2013, it is appropriate to reflect back on some of the things which have occurred over 2012 and in the Foreign Corrupt Practices Act (FCPA) enforcement world, it was quite a significant year. The Department...more

Five Biggest FCPA Stories Of 2012

by Michael Volkov on 1/7/2013

One of my favorite “Seinfeld” episodes is when Jerry and George go to NBC to pitch their new television show which is about “nothing.” There are some parallels to this posting. FCPA settlements have dwindled during 2012....more

Is It the End of the (Compliance) World?

by Thomas Fox on 12/21/2012

Today the Mayans predicted the world would end. I must say that I find the Mayans had a complete lack of courtesy, indeed if not foresight, as they did not identify the time the world would end and further did not specify if...more

DZ Bank Files Lawsuit Against Morgan Stanley Over $694M in RMBS

by Orrick - Structured Finance Group on 12/4/2012

On November 21, Deutsche Zentral-Genossenschaftsbank AG (DZ Bank) filed a summons with notice in Supreme Court for the State of New York against Morgan Stanley in connection with the German bank’s alleged purchase of $694...more

IKB Files Suit Against Morgan Stanley Over $147M in RMBS

by Orrick - Structured Finance Group on 12/4/2012

On November 16, German lender IKB Deutsche Industriebank AG sued Morgan Stanley and related entities in the Supreme Court for the State of New York for $147 million in connection with the sale of RMBS....more

Morgan Stanley Sued Over $140 Million in RMBS

by Orrick - Structured Finance Group on 9/7/2012

On August 29, Bank Hapoalim B.M. filed a summons with notice in New York state court against four Morgan Stanley entities. Bank Hapoalim alleges that offering materials accompanying the sale of eight RMBS purchased for a...more

HSH Nordbank AG Sues Goldman Sachs and Morgan Stanley Over $634 Million in RMBS

by Orrick - Structured Finance Group on 9/7/2012

Several HSH Nordbank AG affiliates filed two summonses with notice in New York state court on August 24, seeking damages, rescission and/or a declaratory judgment arising out of their purchase of roughly $524 million and $110...more

Court Denies Morgan Stanley’s Motion to Dismiss RMBS Class Action

by Orrick - Structured Finance Group on 7/24/2012

On July 16, Judge Laura Swain of U.S. District Court for the Southern District of New York denied Morgan Stanley’s motion to dismiss a class action suit that alleges misrepresentations and omissions in the offering documents...more

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Lessons from Ralph Lauren: Designing Better Ways to Manage Third Party Risk

Second Circuit Further Curtails Duty of Prudence Claims in Saint Vincent Catholic Medical Centers v. Morgan Stanley

Court Grants in Part Motions to Dismiss Allstate RMBS Lawsuits

Breaking Bad: When A Good Employee Goes Bad?

DOJ Fraud Official Offers An Insider’s View Of The FCPA Resource Guide

Internal Investigation Fees Awarded To Goldman Sachs

Transaction Monitoring Under the FCPA [Video]

Levick Weekly - January 25th, 2013: Keystone Social Networks Are Taking On The Old-Boy Network-And Winning

Morgan Stanley Revelations Raise The Specter Of 2008… Again

Top Ten Enforcement Actions for 2012

Five Biggest FCPA Stories Of 2012

Is It the End of the (Compliance) World?

DZ Bank Files Lawsuit Against Morgan Stanley Over $694M in RMBS

IKB Files Suit Against Morgan Stanley Over $147M in RMBS

Morgan Stanley Sued Over $140 Million in RMBS

HSH Nordbank AG Sues Goldman Sachs and Morgan Stanley Over $634 Million in RMBS

Court Denies Morgan Stanley’s Motion to Dismiss RMBS Class Action

Transaction Monitoring Under the FCPA [Video]

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