EASTERN DISTRICT OF NEW YORK SECURITIES AND EXCHANGE COMMISSION

EASTERN DISTRICT OF NEW YORK SECURITIES AND EXCHANGE COMMISSION

17 Pages · 2006 · 635 KB · English

Official expanded their personal business dealings, both in a real estate interest secretly acquired from Morgan Stanley,

EASTERN DISTRICT OF NEW YORK SECURITIES AND EXCHANGE COMMISSION free download


UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NEW YORK SECURITIES AND EXCHANGE COMMISSION, Plaintiff, Civil Action No vs GARTH RONALD PETERSON, Defendant COMPLAINT Plaintiff Securities and Exchange Commission (the "Commission" or "SEC") alleges that: SUMMARY 1 From at least 2004 to 2007, Defendant Garth Peterson, while employed at Morgan Stanley & Co, Inc 's ("Morgan Stanley") real estate investment and fund advisory business, secretly acquired millions of dollars worth of real estate investments from Morgan Stanley's funds for himself, the former Chairman of Y ongye Enterprise (Group) Co ("Y ongye")a Chinese stateowned entity with influence over the success of Morgan Stanley's real estate business in Shanghaiand others Peterson also arranged to have paid to himself and the former Chairman ofYongye ("the Chinese Official") at least $18 million in what he misrepresented were finder's fees Morgan Stanley's funds owed to third parties In exchange for offers and payments from Peterson, the Chinese Official helped Peterson and Morgan Stanley obtain business while personally benefitting from some ofthese same investments This selfdealing and misappropriation by Peterson breached the fiduciary duties he and Morgan Stanley owed to their clients 2 By engaging in the conduct described in this Complaint, Peterson violated the antibribery and internal controls provisions of the Foreign Corrupt Practices Act of 1977 ("FCPA")namely Sections 13(b)(5) and 30A of the Securities Exchange Act of 1934 ("Exchange Act") [15 USC §§ 78m(b)(5) and 78ddl]and aided and abetted violations of the antifraud provisions ofthe Investment Advisers Act of 1940 ("Advisers Act")namely Sections 206(1) and 206(2) [15 USc §§ 80b6(1) and 80b6(2)] 3 The Commission brings this action against Peterson seeking injunctive reliefto prevent future violations of the federal securities laws, disgorgement, and a civil penalty JURISDICTION 4 This Court has jurisdiction over this action under Sections 21(d), 21(e), and 27 of the Exchange Act [15 USC §§ 78u(d), 78u(e), and 78aa] and Section 209(d) of the Advisers Act [15 USC § 80b9(d)] The parties have consented to venue in the Eastern District of New York DEFENDANT 5 Defendant Garth Peterson is a US citizen and resident of Singapore who speaks Chinese fluently Peterson began working for Morgan Stanley in 2002 in Hong Kong He was made the head ofthe Shanghai office of Morgan Stanley'S whollyowned global real estate business when that office first opened in 2006 and became a Managing Director of Morgan Stanley in 2007 Peterson's principal responsibility at Morgan Stanley was to evaluate, negotiate, acquire, manage and sell real estate investments on behalf of Morgan Stanley'S advisers and funds As such, he owed a fiduciary duty to the fund clients By the time he was terminated in 2008 in connection with the conduct described in this Complaint,

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