Implosion of Bear Stearns’ MBS Funds Embroils Institutional Investors
The implosion of Bear Stearns’ two mortgage-backed security funds set in motion a series of events that would result in the Great Financial Crisis.
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Crisis & Issues Management, Financial Services
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Litigation, Crisis & Issues Management, Financial Services
Employee Sues for Wrongful Termination and Defamation
A financial services company terminated an employee for cause. The employee sued for wrongful termination, then later for defamation. An investigation uncovered the employee’s conspiracy to induce others to leave and to steal trade secrets, amongst other infractions of civil and criminal laws.
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Litigation, Crisis & Issues Management, Financial Services
Qui Tam Lawsuit Against an Investment Company
A whistleblower’s testimony led to action against this investment company concerning a wireless spectrum auction. Both the FCC and DOJ became involved.
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Litigation, Crisis & Issues Management, Financial Services
Hedge Fund Faces Accusations of Insider Trading
The Department of Justice launched a major investigation into insider trading across Wall Street. Ultimately, the number of prosecutions would be in the dozens. One of the first major cases involved a hedge fund manager who had obtained non-public, material information from a third-party expert who was under contract advising a variety of companies. When the Department of Justice began its inquiry into this manager and his suspected trades, the manager denied any wrongdoing and also induced the third-party expert to do the same.
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Litigation, Crisis & Issues Management, Financial Services
Billion-Dollar Hedge Fund Faces Risk of Fund Liquidation
A multi-billion dollar fund faced multiple challenges converging on management. A former partner had been criminally indicted; both regulators and law enforcement questioned the fund’s investment practices; market conditions had deteriorated, which undermined valuations. The news media swarmed in creating a reputation risk, and redemptions from investors had built as they lost confidence in the fund.
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Litigation, Crisis & Issues Management, Financial Services
Financial Services Company Faces SEC Legal Action
This financial services company – with a notable brand among institutions and retail investors – was facing legal actions from individuals and government regulators, including the SEC. Silence in the media wasn’t working; critics were gaining the upper hand. News coverage was hurting morale at the firm, and clients were beginning to withdraw their money.
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Financial Services
Mitsui Fudosan America Grows US Real Estate Portfolio
As part of its “Innovation 2017” plan, Mitsui Fudosan America (MFA) aimed to grow the company’s $39 billion portfolio by adding high value-added real estate development projects in U.S. gateway cities, such as New York, San Francisco, Seattle and Washington, D.C. To do so, MFA had to stand apart from the flurry of other foreign real estate investors and developers, especially those who entered the U.S. market in the 1980’s and then fled during the real estate downturn a decade later.
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Financial Services
Sun Life Financial’s CEO Tells Investors He’s Bullish on Asia
Dean Connor, CEO and President of Sun Life Financial, wanted to communicate his confidence in the Asian market to investors.
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Crisis & Issues Management, Financial Services, Technology, Industrial
Aerospace and Defense Firm Struggles to Integrate Acquisition
A large aerospace and defense contractor acquired a highly innovative small business technology company. The company wanted to quickly integrate its new company to see the financial benefits of the acquisition, but the introduction of new processes and senior management was threatening the acquired company’s technical talent and culture of innovation.
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