MORGAN STANLEY PRIVATE EQUITY ASIA, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 134366). Regulatory assets under management: $1.9B.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
Showing 25 of 46 people.
| Name | Role | Location |
|---|---|---|
| Benjamin Cordt Huneke | PRESIDENT AND MANAGING DIRECTOR OF MORGAN STANLEY INVESTMENT MANAGEMENT | New York, NY |
| John Joohahn Moon | DIRECTOR | — |
| David Nathan Miller | PRESIDENT, DIRECTOR AND HEAD OF PRIVATE CREDIT AND EQUITY | — |
| Kara Schiffman Fricke | CHIEF LEGAL OFFICER | — |
| Amy Meisiu Yeung | VICE PRESIDENT | — |
| Gauranga Pal | CHIEF COMPLIANCE OFFICER | — |
| Jun Xu | DIRECTOR | MCKINNEY, TX |
| Ling Wei Ong | DIRECTOR | — |
| OTTO CARSTEN | CHIEF COMPLIANCE OFFICER | — |
| LEV ARTHUR JASON | CHIEF LEGAL COUNSEL | — |
| ODELL CHRISTOPHER LEROY | CHIEF COMPLIANCE OFFICER | — |
| MANTZ JAY HOWARD | GLOBAL CO-HEAD OF MERCHANT BANKING | — |
| CATTIER JENNIFER MURPHY | CHIEF COMPLIANCE OFFICER; CHIEF LEGAL OFFICER | — |
| JONES ALAN KENT | CO-HEAD OF GLOBAL PRIVATE EQUITY, DIRECTOR AND PRESIDENT; HEAD OF GLOBAL PRIVATE EQUITY, DIRECTOR AND PRESIDENT; HEAD OF PRIVATE EQUITY, DIRECTOR AND PRESIDENT (+3 more) | — |
| CHOU H CHIN | CHAIRMAN AND DIRECTOR; CHIEF EXECUTIVE OFFICER OF PRIVATE EQUITY ASIA AND DIRECTOR; CO-HEAD OF MSPE ASIA, CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR (+3 more) | — |
| FONG GABRIEL MING KWAN | EXECUTIVE DIRECTOR | — |
| HAHN SCOTT SANGWON | EXECUTIVE DIRECTOR | — |
| WOLHARDT JULIAN JUUL | EXECUTIVE DIRECTOR | — |
| PATEL PRATISH SHANTILAL | CHIEF FINANCIAL OFFICER AND DIRECTOR; CHIEF FINANCIAL OFFICER AND EXECUTIVE DIRECTOR; CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER AND EXECUTIVE DIRECTOR | — |
| MORRISON ALLISTER GEORGE | DIRECTOR | — |
| HAWKYARD ANDREW SCOBIE | EXECUTIVE DIRECTOR | — |
| MOON JOHN JOOHAHN | DIRECTOR | — |
| VOGELSANG PETER ROCKWELL | CHIEF LEGAL OFFICER | — |
| LIU HAIFENG DAVID | CO-HEAD OF MSPE ASIA, PRESIDENT, DIRECTOR AND MANAGING DIRECTOR | — |
| FLEMING GREGORY J | PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT; PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY; PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-03-06 | regulatory | THE HELLENIC CAPITAL MARKET COMMISSION (HCMC) ALLEGED THAT MORGAN STANLEY COMMITTED MARKET MANIPULATION PURSUANT TO ARTICLE 7, PAR. 2(C) OF LAW 3340/2005 BY DISCLOSING THAT THE FIRM, THROUGH VARIOUS SUBSIDIARIES, HAD ACQUIRED MORE THAN 5% OF ALPHA BANK, HOWEVER 4.16% OF THE HOLDING WAS HELD BY A SUB… | Final | $53K |
| 2016-03-22 | regulatory | THE PORTUGUESE SECURITIES MARKET COMMISSION (CMVM) ALLEGED THAT THE FIRM DID NOT NOTIFY THE CMVM OR THE ISSUING COMPANY OF CHANGES TO CERTAIN QUALIFYING HOLDINGS WITHIN THE REQUIRED TIME PERIOD, IN VIOLATION OF ARTICLE 16 OF THE PORTUGUESE SECURITIES CODE | Final | — |
| 2016-02-11 | regulatory | THE NEW YORK ATTORNEY GENERAL'S OFFICE ("NYAG") ALLEGED THAT MORGAN STANLEY VIOLATED NEW YORK LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2006 AND 2007. | Final | $150.0M |
| 2016-02-11 | regulatory | THE ILLINOIS ATTORNEY GENERAL'S OFFICE ("ILAG") ALLEGED THAT MORGAN STANLEY VIOLATED ILLINOIS LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2002 AND 2008. | Final | $22.5M |
| 2014-08-21 | regulatory | HCMC ALLEGED THAT MS FAILED TO PROPERLY OR TIMELY REPORT WHEN MS HOLDINGS IN CERTAIN COMPANIES INCREASED OR DECREASED BY MORE THAN 3%, OR EXCEEDED OR FELL BELOW 5%, 10% AND 15% THRESHOLDS, AS REQUIRED BY GREEK PRESIDENTIAL DECREE PD 51/1992 AND LAW 3556/2007. | Final | $71K |