Walton v. Morgan Stanley & Company

United States District Court for the Southern District of New York · 1979 · Corporations
83 F.R.D. 628 (1979)
Updated
CorporationsDerivative suitsStandingderivative actioncorporate injuryshareholder suitmotion to dismissaccounting

Facts

Plaintiffs, former Olinkraft shareholders, alleged that during 1977 acquisition negotiations Morgan Stanley received confidential information from Olinkraft for limited use in connection with Kennecott's possible acquisition of Olinkraft. They alleged Morgan Stanley improperly retained that information, that its arbitrage department later bought 149,200 shares of Olinkraft stock after Texas Eastern announced a proposed merger, and that Morgan Stanley's mergers and acquisitions department disclosed Olinkraft's confidential information to Johns-Manville to induce a higher offer. Johns-Manville's subsidiary later acquired 49% of Olinkraft stock at $65 per share, and the remaining shares were exchanged for Johns-Manville preferred stock in a merger. Plaintiffs sued derivatively on behalf of Olinkraft for Morgan Stanley's profits, alleging Morgan Stanley violated a duty to Olinkraft.

Issue

Whether shareholders suing derivatively on behalf of a corporation have standing when their complaint alleges that the defendant violated a duty to the corporation and profited from trading, but does not allege that the corporation itself was injured by the defendant's conduct.

Rule

To establish standing, a plaintiff must allege an injury for which he seeks redress. In a derivative action, standing exists only if the complaint alleges that the corporation on whose behalf the suit is brought was injured by the defendant's assertedly wrongful acts.

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One of 10 multiple-choice questions for this case. Pick an answer to see why.
In Chicago, shareholders of Lakefront Paper Mills file a derivative suit against Briar Hill Advisory Partners. They allege the firm misused confidential information obtained during acquisition talks to buy Lakefront stock for its own account and made a large profit, but the complaint does not claim Lakefront itself lost money or suffered any other harm.

Should the court dismiss for lack of standing?

Explanation. Yes. The governing rule is that a plaintiff suing derivatively has standing only if the complaint alleges injury to the corporation on whose behalf suit is brought. Allegations that the defendant breached a duty and profited from trading do not establish standing unless the corporation itself is alleged to have been injured. (Derived from Walton v. Morgan Stanley & Company (1979).)