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https://www.sec.gov/news/press-release/2012-2012-122htm
Jun 27, 2012 · The SEC’s complaint alleges that at Falcone’s direction, Harbinger purchased a large position in the MAAX bonds during April and June of 2006. After hearing rumors that a Wall Street financial services firm was shorting the MAAX bonds and also encouraging its customers to do the same, Falcone decided to seek revenge.
https://www.sec.gov/news/press-release/2013-159
Aug 19, 2013 · “Falcone and Harbinger engaged in serious misconduct that harmed investors, and their admissions leave no doubt that they violated the federal securities laws,” said Andrew Ceresney, Co-Director of the SEC’s Division of Enforcement.
https://www.zerohedge.com/news/philip-falcone-and-harbinger-charged-securities-fraud-full-release
The SEC’s complaint alleges that at Falcone’s direction, Harbinger purchased a large position in the MAAX bonds during April and June of 2006. After hearing rumors that a Wall Street financial services firm was shorting the MAAX bonds and also encouraging its …
https://www.mayerbrown.com/-/media/files/news/2013/08/a-harbinger-of-more-aggressive-sec-settlements/files/a-harbinger-of-more-aggressive-sec-settlements/fileattachment/a-harbinger-of-more-aggressive-sec-settlements.pdf
The case arose out of a civil enforcement action filed by the SEC in June 2012 against Falcone, Harbinger Capital and Harbinger Capital’s former Chief Operating Officer Peter A. Jenson. The complaint charged Falcone and Harbinger Capital with violating Section 17(a) of the Securities Act, Section 10(b) of the
https://www.secactions.com/fund-manager-falcone-is-the-center-of-a-series-of-sec-actions/
Jun 27, 2012 · The short squeeze: In a tale worthy of a novel the SEC’s complaint names Mr. Falcone, Harbinger Capital Partners Offshore Manager, LLC and Harbinger Capital Partners Special Situations GP, LLC as defendants. Mr. Falcone is the co-founder of the Harbinger Master Fund and Harbinger Special Situations Fund.
https://www.hflawreport.com/2544021/sec-charges-philip-a-falcone-harbinger-capital-partners-and-related-entities-and-individuals-with-misappropriation-of-client-assets-granting-of-preferential-redemptions-and-market-manipulation.thtml
On June 26, 2012, the SEC filed three separate complaints relating to securities law violations allegedly committed by Philip A. Falcone, his investment advisory firm, Harbinger Capital Partners LLC (Harbinger) and other entities and individuals. In the first complaint, the SEC charged Falcone, Harbinger and Peter Jenson, a former Managing Director and Chief Operating Officer of Harbinger ...
http://www.mondovisione.com/media-and-resources/news/philip-a-falcone-and-harbinger-charged-with-securities-fraud/
Jun 27, 2012 · The Securities and Exchange Commission today filed fraud charges against New York-based hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital Partners LLC for illicit conduct that included misappropriation of client assets, market manipulation, and betraying clients. The SEC also charged Peter A. Jenson, Harbinger’s former Chief Operating Officer, for aiding …
https://www.goodetrades.com/2012/07/sec-suit-against-harbinger-indicates-they-view-float-lockdowns-and-other-manipulation-to-create-short-squeezes-as-illegal/
The SEC’s complaint alleges that at Falcone’s direction, Harbinger purchased a large position in the MAAX bonds during April and June of 2006. After hearing rumors that a Wall Street financial services firm was shorting the MAAX bonds and also encouraging its …
https://clsbluesky.law.columbia.edu/2013/09/27/baker-hostetler-discusses-the-philip-falcone-harbinger-capital-settlement/
Sep 27, 2013 · The first complaint also alleged that Falcone allowed some large investors to pull their money from his funds in return for their vote to approve a plan to restrict client redemptions from a different fund. According to the SEC, Harbinger concealed these preferred shareholder deals from the funds’ independent directors and investors.
https://www.thinkadvisor.com/2012/06/27/sec-charges-falcone-harbinger-capital-with-fraud/
Jun 27, 2012 · SEC Charges Falcone, Harbinger Capital With Fraud The charges "read like the final exam in a graduate school course in how to operate a hedge fund unlawfully," the agency says.
https://www.law360.com/articles/398096/harbinger-falcone-say-sec-s-fraud-claims-fail
Harbinger, Falcone Say SEC's Fraud Claims Fail ... The complaint fails to allege that the defendants had any duty to lend their bonds or that they intended to deceive Goldman or its traders, the ...Author: Lisa Uhlman
https://www.hitc.com/en-gb/2012/06/28/sec-charges-philip-a-falcone-and-harbinger-with-securities-fraud/
SEC Charges Philip Falcone and Harbinger with Securities Fraud. Rhian Hughes. ... The SEC alleges in its complaint against Harbert that during the entire period of the short squeeze, Defendants ...
https://www.businessinsider.com/phil-falcone-and-harbinger-sued-by-the-sec-2012-6
SEC SUES PHIL FALCONE OVER ALLEGED SECURITIES FRAUD. ... We're going through the complaint now and we'll have more updates in a moment. ... the SEC alleges that Falcone and Harbinger, aided by ...Author: Julia La Roche
https://www.forbes.com/sites/danielfisher/2014/01/29/why-settling-with-the-sec-can-be-worse-than-losing-at-trial/
Jan 29, 2014 · Why Settling With The SEC Can Be Worse Than Losing At Trial . ... manager Philip A. Falcone of Harbinger Capital Partners in August 2013. Mr. ... Act which requires that a complaint …
https://www.forbes.com/sites/danielfisher/2012/06/27/falcones-sec-charges-bad-behavior-but-illegal/
Jun 27, 2012 · Falcone's SEC Charges: Bad Behavior, But Illegal? ... or by misleading Harbinger's directors. ... the SEC complaint serves as an illustration of why hedge funds are mispriced. The allegations that ...
https://www.investorlawyers.com/blog/sec_news_exharbinger_coo_settl/
Jul 30, 2014 · The proposed final judgment in the Harbinger case (PDF) Read Jenson’s Consent (PDF) The SEC’s Complaint in the “Solar Farm” Penny Stock Case (PDF) SEC Announces Additional Charges in Football-Related Boiler Room Scheme, SEC, July 24, 2014 . More Blog Posts:
https://repository.jmls.edu/cgi/viewcontent.cgi?article=1001&context=globalmarkets
The SEC filed its complaint against Falcone and Harbinger on June 27, 2012, in U.S. Securities and Exchange Commission v. Harbinger Capital Partners, LLC, for numerous violations including Falcone’s personal loan and the preferential treatment of the investors allowed to …Author: Larissa Lee
https://www.mayerbrown.com/en/perspectives-events/publications/2013/08/the-sec-requires-hedge-fund-harbinger-capital-and
The US Securities and Exchange Commission (SEC) recently announced that Philip A. Falcone, a New York-based hedge fund advisor, and the hedge fund he managed, Harbinger Capital Partners LLC (Harbinger Capital), have agreed to settle allegations of misappropriation of client assets, market manipulation and client betrayal.
https://www.valuewalk.com/2012/06/philip-falcones-harbinger-capital-faces-securities-fraud-complaint/
Jun 27, 2012 · Hedge fund billionaire Philip Falcone and his firm Harbinger Capital Partners is facing a securities fraud complaint from the Securities and Exchange Commission (SEC). The Commission’s 28-page lawsuit alleged that Falcone illegally borrowed $113 million from one of his hedge funds to pay for his personal taxes despite a warning from a law firm that it was a bad idea.
https://www.americanbar.org/groups/business_law/publications/blt/2013/10/keeping_current/
Oct 31, 2013 · The recent settlement between the SEC and hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital Partners, reflects a more aggressive stance by the SEC and is a sea change from its long-standing policy of allowing defendants to "neither admit nor deny" wrongdoing.
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