Tag: Morgan Stanley

Securities Lawyer
Arbitration Brokers Compliance

Morgan Stanley Deferred Comp Claims

Morgan Stanley may have violated ERISA rules when it cancelled certain deferred compensation assets for brokers who left the firm. We are investigating claims for Morgan Stanley advisors who were denied their deferred compensaton payments when they left the firm. There is a proposed class action pending, but individual advisors […]

Securities and Exchange Commission
News

Morgan Stanley Agrees to Pay $5 Million for Reg SHO Violations

The Securities and Exchange Commission today announced settled charges against Morgan Stanley & Co. LLC for violations of Regulation SHO, the regulatory framework governing short sales. According to the SEC’s order, the structure of Morgan Stanley’s prime brokerage swaps business resulted in violations of Reg SHO. As set forth in […]

Analysis

Employment exclusion reviewed

Supreme Court and Arbitration – 2002   SUPREME COURT & ARBITRATION: The U.S. Supreme Court heard argument in the Circuit City v. Adams case on Monday, concerning Section 1’s “contract of employment” exclusion. The Ninth Circuit gave a broad reading to the exclusionary provision in the decision below, holding that […]

Corp Finance

Massive Investment Banking Settlement

“These cases reflect a sad chapter in the history of American business — a chapter in which those who reaped enormous benefits from the trust of investors profoundly betrayed that trust. These cases also represent an important new chapter in our ongoing efforts to restore investors’ faith in the fairness […]