Year: 2012

Garth Peterson, the former head of Morgan Stanley’s Shanghai office, settled FCPA charges with the DOJ and the SEC. Mr. Peterson, a U.S. citizen, pleaded guilty to one count of conspiracy to evade the company’s internal accounting control. U.S. v. …

MORGAN STANLEY EMPLOYEE CHARGED WITH FCPA VIOLATIONS Read More »

Egan-Jones Ratings Co. and its founder, president and owner Sean Egan were named as Respondents in a Commission administrative proceeding. The Order alleges that the firm submitted a false and misleading registration statement to the SEC, made material misrepresentations in …

RATING AGENCY AND FOUND CHARGED WITH MISREPRESENTATIONS Read More »