刘刚起诉前雇主，摩根斯坦利遭美证监会调查

黑珍珠

中国雇员向美国联邦法庭起诉摩根斯坦利和中国政府控制的中投公司，索偿5百万美元
http://www.courthousenews.com/2012/03/07/44469.htm

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传遭美证监会调查 摩根士丹利最近有点烦
http://stock.hexun.com/2012-05-25/141778959.html

　　中国网5月25日讯 2012年即将过半，全球恶劣的经济环境下，对很多投资机构来说，前景不容乐观。摩根士丹利或因流年不利，近期接二连三麻烦不断。行贿丑闻的阴影还没散去，Facebook上市后股价大跌让作为主承销商的摩根士丹利沦为众矢之的，紧接着上海医药(601607,股吧)“黑天鹅”事件，大摩又不幸意外中枪。不得不说，大摩最近有点烦。

　　信披遭疑：Facebook市值三日缩水190亿美元 大摩被传遭SEC调查

　　眼下科技领域最炙手可热的互联网公司Facebook自上周五正式登陆纳斯达克之后，三个交易日股价累计下挫19%，市值蒸发190亿美元，这令众多损失惨重的投资者极度不满。据外媒报道，已有部分股东对facebook公司和发行商摩根士丹利提起诉讼，指责他们在上市前隐瞒了Facebook增长预估下调的消息。

　　此外，有报道称在Facebook开始路演后，摩根士丹利的分析师下调了对其第二季度的盈利预期和2012全年的收入预期。而其他两家主承销商摩根大通和高盛集团也都在Facebook进行路演时对其业绩预期作出了修改。而且这个“下调预期的消息透露”就发生在上调发行价和发行股数之前，这就很容易让市场上的投资者心生疑窦了“难道摩根士丹利对IPO也在看空做多？”同时，有分析称，正是由于这些负面事件导致了Facebook上市后股价暴跌。

　　尽管摩根士丹利发言人潘·彭德尔顿(PenPendleton)公开表示，与其他企业的IPO一样，摩根士丹利在Facebook的IPO过程中并无违规行为。但这一状况还是引起了美国当局的注意。据报道，5月22日美国证券交易委员会和美国金融业监管局对外表示，或将对FacebookIPO所发生的一些情况展开调查。尽管目前还没有披露关于此事调查的进一步细节，但显然众多的矛头直指摩根士丹利。

　　意外中枪：上海医药“黑天鹅”事件 大摩或被深套

　　除了美国本土市场上的失意，中国市场上，摩根士丹利或深陷“黑天鹅”事件。

　　5月23日，媒体报道上海医药一在职高管爆料，称“上海医药登陆H股后两次大的收购案都存在严重财务造假，已经被证监会和香港联交所调查，我们有可能是下一个博士蛙！”此言一出，引发上海医药H股当日放量大跌，盘中最低探至7.70港元，暴跌36%。截至当日收盘，上海医药H股跌24.34%报9.11港元，成交4.9亿港元。

　　据上海医药H股2011年报显示，摩根士丹利等多家外资机构现身其中，并且一直保持增持的趋势。据港交所股权资料披露，摩根士丹利1月9日持有上海医药H股好仓4791.866万股；5月3日，持有上海医药5990万股H股好仓；5月18日，持有上海医药6232万股H股好仓。值得一提的是，上海医药H股自2011年5月在香港上市以来股价一直呈下行趋势。2012年以来，上海医药H股股价一直在11港元以上运行，此番暴跌之后，有机构分析，摩根士丹利或被上海医药H股深套。

　　涉行贿丑闻：大摩前高管行贿遭指控

　　今年4月，美国证券交易委员会起诉摩根士丹利前高级管理人员涉嫌违反《海外反腐败法》，指控其与一名官员非法获得上百万的房产，后者为摩根士丹利的基金招揽业务。

　　美国证监会称，摩根士坦利地产基金中国项目主管彼得森(Garth Peterson)与中国一家企业的前董事长有秘密业务关系，后者对摩根士丹利在上海房地产业务的成功具有重要影响。

　　随后不久，摩根士丹利中国房地产投资部前负责人皮特森(Garth Peterson)承认了美国证券交易委员会此前对他的指控，承认违反美国《反海外腐败法》。

　　除了麻烦不断、丑闻迭出，摩根士丹利最新披露的2012年一季报也不甚好看，受债务估值调整拖累，摩根士丹利今年一季净损9,400万美元或每股净损6美分，不如去年同期的净利9.68亿美元或每股盈余50美分，营收下滑8.4%至69.4亿美元。
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Dissident Claims Bank Sacked Him for China

By ADAM KLASFELD

MANHATTAN (CN) - One of the leaders of the Tiananmen Square protests claims in Federal Court that Morgan Stanley fired him to placate China Investment Corp., which is owned by the Chinese government and "has a substantial interest in Morgan Stanley".

Jailed for 6 years in China, Gang Liu secured political asylum and a green card from the Clinton administration in 1996. He continued criticizing his native land from the United States though organized protests, published articles and speeches.

Since 2010, Liu has filed two long, pro se complaints in Manhattan Federal Court, accusing his estranged wife of being secret Chinese military operative, whom he claims led a far-flung conspiracy involving Pfizer, Google and others, to persecute him.

One of those cases has been dismissed, and a federal judge is considering dismissal motions on the other.

Liu hired counsel to help him with his latest case, which alleges a more straightforward conspiracy involving his former employer, Morgan Stanley.

Liu says that his friend, Yi Tang, recruited him in 2009 to work as a trader for the bank.

Tang, meanwhile, started a volunteer program where Chinese and Chinese-American alumni of Peking University who work for Morgan Stanley could share stories about financial careers in videoconferences, according to the complaint.

Liu, who earned an M.S. from Peking in 1987, says his participation in this conference caused a stir in China.

"As soon as plaintiff introduced himself, there was a loud uproar from the Peking University students, many of whom recognized him as a well-known dissident from the Tiananmen Square protests," the complaint states. "Yi Tang quickly came into the room, told plaintiff to stop speaking, and took plaintiff out of the room."

Liu says his career took a nosedive after that.

"On information and belief, Yi Tang told plaintiff that the Chinese government would not allow him to speak, and that he could not let him be involved in the volunteer program any longer.

"On or about June 29, 2010, Yi Tang told plaintiff that he needed to tell human resources about his background as a dissident and his current political activities," the complaint states.

Liu says he did as he was told, and told Morgan Stanley""""s human resource officials Katherine Bosch and Stacy Alphonso "about his background as a dissident and his continuing political activism against the Chinese government and in support of the cause of democracy in China."

He claims that on June 28, 2010, the Chinese government became aware that he was working for Morgan Stanley, and had China Investment Corp. pressure the bank to fire him.

Liu says that Tang suggested to him that he email his co-workers about his history as a dissident and an activist. He claims that many employees replied favorably to the email, until Kimberly Selquist, Morgan Stanley""""s vice president of human resources, told them to stay away from him.

"Morgan Stanley would frequently require plaintiff to meet with human resources, compliance, anti-money laundering and IT security groups for no good reason, including weekly meetings with Selquist, Bosch and/or Alphonso," the complaint states. "The constant meetings were disruptive of plaintiff""""s ability to perform his regular work duties, and he felt that he was facing antipathy and suspicion from the bank due to his outside political activities and affiliation as an opponent of the Chinese government."

Liu claims: "(R)esponsible personnel of defendants Morgan Stanley and China Investment Corporation set upon a course to result in plaintiff""""s termination by (1) intimidating plaintiff""""s co-workers so that they would shun him and refused to cooperate with him on work matters, (2) intimidating plaintiff""""s supervisors so that they would shun him, refuse to cooperate with him on work matters, and refuse to provide him with assignments as his usual level of authority and responsibility, and (3) intimidating plaintiff with constant and unnecessary meetings with human resources and various Morgan Stanley personnel, all in an effort to get plaintiff to resign."

He claims he resisted that pressure to resign, until he was fired on July 8, 2011.

He seeks $5 million in punitive damages for conspiracy to violate his civil rights and New York State labor law.

He is represented by James LeBow, with Lebow & Associates.

Morgan Stanley did not immediately respond to telephone and email requests for comment.