EXECUTIVE DIRECTOR IN THE COMPLIANCE DEPARTMENT
MORGAN STANLEY
Andrew H. Lipton is currently an Executive Director in the Compliance Department at Morgan Stanley and the Manager of the Broker-Dealer Regulatory Examination Group. The Regulatory Exam Group is responsible for managing examinations of Morgan Stanley’s North American broker-dealer entities conducted by the Firm’s securities and commodities regulators, their Self-Regulatory Organizations (SROs), the exchanges and the states. Mr. Lipton worked seven years in the Client Litigation Division of Morgan Stanley Wealth Management focusing primarily on securities customer arbitrations and regulatory investigations. Andrew is an active member of the Morgan Stanley Legal and Compliance Division Diversity and Inclusion Committee and is the Co-Chair of the Diversity Summer Internship Program. Andrew is on the Board of Directors for PALS (Practicing Attorneys for Law Students Program), a group that provides career and skills development for diverse lawyers and law school students) Andrew is also on the Advisory Board for the Institute for Inclusion in the Legal Profession (“IILP”). Mr. Lipton was a speaker at the 2014 PLI seminar on Diversity & Inclusion in the Law. Previously, Mr. Lipton was an associate at the law firm of Skadden, Arps, Slate Meagher & Flom LLP. At Skadden, Mr. Lipton was a general litigator whose practice focused primarily on securities class actions. Mr. Lipton received a B.A. from Binghamton University and graduated magna cum laude from Brooklyn Law School.
