News & Analysis as of

Morgan Stanley

Seward & Kissel LLP

Class Action Suit Filed Against Morgan Stanley Over Rates on Bank Deposit Program

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On June 14, 2024, a class action lawsuit was filed in the U.S. District Court for the Southern District of New York against Morgan Stanley alleging a breach of its fiduciary duty to customers and unjust enrichment by, among...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: March 1, 2024

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

King & Spalding

Fraudulent Transfer Claims Against Investors Survive Motions to Dismiss

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On October 12, 2022, the U.S. Bankruptcy Court for the Southern District of New York denied motions to dismiss fraudulent transfer claims asserted against certain investors in Tops Holding II Corporation. In 2007, a group of...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Arkansas Environmental Service Firms: Alliance Technical Group Acquires GBMc & Associates

Alliance Technical Group, LLC, (“ATG”) issued a December 6th news release stating that it had acquired GBMc & Associates (“GBMc”). ATG states that the acquisition was backed by investment funds managed by Morgan Stanley...more

Bennett Jones LLP

Regulatory Obligations Concerning the Disposal of Outdated Hard Drives and Servers

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The disposal of hardware in the wrong manner can leave an organization offside its regulatory obligations under privacy legislation. Depending on the residence of the individuals or entities whose personal data is stored by...more

Robinson+Cole Data Privacy + Security Insider

Vishing Continues to be a Risk Worth Assessing

Phishing, Smishing, Vishing, and QRishing. All of these schemes continue to pose risk to organizations that needs to be assessed and addressed. Vishing made a strong debut during the pandemic, and continues to be a scheme...more

Cadwalader, Wickersham & Taft LLP

Cadwalader Corner Q&A: Morgan Stanley's Thomas Wipf, Chairman of the Federal Reserve's Alternative Reference Rates Committee

Earlier last week the President signed Federal legislation addressing LIBOR transition for legacy contracts. As Chair of the Alternative Reference Rates Committee, what does that mean for the financial markets?...more

Robins Kaplan LLP

SEC Investigates Musk Brothers Over Possible Insider Trading

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The SEC is reportedly probing whether recent stock sales by Tesla’s CEO Elon Musk and his brother Kimbal “violated insider-trading rules.” News of the investigation came less than a week after Tesla accused the Commission of...more

Barnea Jaffa Lande & Co.

Will Israel Enter the MSCI Europe?

The global stock index provider Morgan Stanley Capital International (MSCI), one of the largest stock index providers in the world, announced recently that it opened a consultancy process with regard to Israel’s possible...more

Bilzin Sumberg

Recent Settlements and Penalties Show Perils of Data Breaches

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Two major U.S. financial institutions, Morgan Stanley and Capital One, recently agreed to resolve separate class action lawsuits by paying, in the aggregate, hundreds of millions of dollars in compensation for massive data...more

Robins Kaplan LLP

Financial Daily Dose 5.21.2021 | Top Story: Markets Rebound and Bring Oatly With Them in Public Debut

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Sweden-based and celeb-backed oat milk company Oatly hit it big on its first day of public trading, with shares soaring 30% “as investors jumped at the chance to take part in rapid changes in the food industry driven by...more

Robins Kaplan LLP

Financial Daily Dose 1.21.2021 | Top Story: Wall Street Greets Biden Administration With Rally, Records on Stimulus Hopes

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Markets gave a warm welcome to the Biden administration on Wednesday, as strong tech performance and hopes of “large-scale economic stimulus” helped power an across-the-board rally that brought all three major U.S. indices...more

Womble Bond Dickinson

How Risky Is Tossing Your Old Servers? Maybe $60,000,000 Fine

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We all have them. Old computers sitting around in storage, never to be used again. Broken servers that have passed their prime. Laptops abandoned for their newer, shinier versions. And what do you do with them? If these...more

Vinson & Elkins LLP

Partnership For Carbon Accounting Financials Publishes Draft Global Carbon Accounting Standard

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On August 3, 2020, the Partnership for Carbon Accounting Financials (“PCAF”) released a draft standard outlining a proposed approach for global carbon accounting. This standard, the “Global Carbon Accounting Standard for the...more

Robins Kaplan LLP

Financial Daily Dose 7.16.2020 | Top Story: Crypto Scheme Hacks Big-name Twitter Users

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A Twitter-based crypto scam managed to hack some high-profile accounts Wednesday. VERY high profile...more

Robins Kaplan LLP

Financial Daily Dose 6.17.2020 | Top Story: Consumer Spending Surged 17.7% in May, but Economists Warn of Yearslong Recovery Ahead

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May saw a huge jump in consumer activity to the tune of +17.7%, as Americans unleashed their pent-up demand. It was welcome news for markets and beyond, but “the underlying data presents a more complicated picture and shows...more

Robins Kaplan LLP

Financial Daily Dose 2.21.2020 | Top Story: Morgan Stanley Pays $13 Billion to Acquire E-Trade

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Morgan Stanley shook the financial world yesterday with the announcement that it’s planning to drop $13 billion on a deal to purchase online discount brokerage E-Trade—the “biggest takeover by a major American lender since...more

Burr & Forman

FINRA and UTMA/UTGA Accounts: Know Your Customer, and Continue to Monitor

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Firms permitting the creation and operation of custodial accounts related to Uniform Transfers to Minors Act (UTMA) or Uniform Gifts to Minors Act (UGMA) transactions must take special notice of Financial Industry Regulatory...more

Robins Kaplan LLP

Financial Daily Dose 12.20.2019 | Goldman nearing $2B deal with DOJ to resolve 1MDB scandal claims

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Goldman Sachs is reportedly in negotiations with federal prosecutors to resolve claims about its role in the Malaysian 1MDB scandal for upwards of $2 billion. A settlement—which “could include a guilty plea from Goldman’s...more

Robins Kaplan LLP

Financial Daily Dose 12.10.2019 | Top Story: Remembering Influential Former Fed Chair Paul Volcker

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Some remembrances upon the passing of influential former Fed Chair Paul Volcker, a force in American economic policy for nearly 60 years who led “the Federal Reserve’s brute-force campaign to subdue inflation in the late...more

Barnea Jaffa Lande & Co.

Compliance and Ethics in Corporations

The United States has been the global leader in the enforcement of anti-bribery and anti-corruption laws for several decades. The Foreign Corrupt Practices Act (FCPA) was enacted in the United States in 1977 in order to...more

Epstein Becker & Green

Federal Court’s Approval of Settlement in Litigation Over Expenses Charged to Brokers Offers Guidance on Settlement of Parallel...

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On September 6, 2019, the U.S. District Court for the Northern District of California preliminarily approved a settlement in Harvey v. Morgan Stanley Smith Barney LLC. The significance of the result is two-fold. First,...more

Robins Kaplan LLP

Financial Daily Dose 10.2.2019 | Top Story: Johnson & Johnson Pays Out $20 Million to Avoid First Opioid Trial

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Johnson & Johnson doled out $20 million to two Ohio counties rather than go through with its first federal opioid-related trial. The money is rather small potatoes for J&J, but it marks the “first time . . . the world’s...more

Robins Kaplan LLP

Financial Daily Dose 9.13.2019 | Top Story: ECB Cuts Rates and Restarts QE in Effort to Preempt European Downturn

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The ECB was even more aggressive than expected in its moves to “head off a downturn before it gained momentum,” cutting a key interest rate and reviving “a money-printing program.” At the same time, the central bank “issued...more

MoFo Impact

Impact Links: Morgan Stanley Impact Quotient; Shroders acquires BlueOrchard; Morning Star sustainable fund data; Africa lags in...

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..Morgan Stanley announced a new tool to help financial advisors and their clients’ measure sustainable investment performance, allowing the prioritization of selected environmental, social and governance interests and...more

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