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Industry Spotlight > Broker Dealers

LPL Nabs Morgan Stanley Exec for Compliance Role

By Janet Levaux

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LPL Financial says Matthew Morningstar has joined the firm from Morgan Stanley and is now  executive vice president of Compliance, Legal & Risk for the independent broker-dealer.

In the new role, Morningstar will oversee the firm’s litigation, arbitrations, regulatory matters and client disputes. He reports to Michelle Oroschakoff, LPL’s chief legal officer and managing director of Compliance, Legal & Risk.

Most recently, Morningstar was head of Litigation and Regulatory Enforcement for the Investment Management division of Morgan Stanley. He is currently the co-chair of the Committee to Enhance Diversity in the Profession for the New York City Bar.

 “Matt is a proven litigator and leader with deep knowledge of our industry’s legal and regulatory environment. With his legal expertise and strategic acumen, he will further enable us to extend a customer care approach to our legal functions and drive positive outcomes for our business partners,” Oroschakoff said in statement.

“In addition, Matt understands the strength that comes from diverse teams with multitudes of perspectives and experiences. His steadfast commitment to social justice and diversity inspires us all,” he added.

Morningstar was awarded the 2013 Out and Proud Corporate Counsel Award from the National LGBT Bar Association and the Advisory Council Leadership Award from the National Association of Minority and Women Owned Law Firms.

“I am thrilled to be part of LPL,” he said in a statement. “I look forward to connecting and collaborating with LPL’s Compliance, Legal and Risk teams, as well as clients and colleagues across the organization and beyond, to drive strategic excellence in the firm’s legal functions and contribute to the mission of taking care of advisors so they can take care of their clients.”

(Photo of Matthew Morningstar)

Janet Levaux

@Think_JanetL

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