We collected information about Sec Falcone Complaint for you. There are links where you can find everything you need to know about Sec Falcone Complaint.
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. “Falcone must now pay a heavy price for his misconduct by surrendering millions of dollars and being ...
https://www.forbes.com/sites/danielfisher/2012/06/27/falcones-sec-charges-bad-behavior-but-illegal/
Jun 27, 2012 · The SEC says Falcone could have sold assets to pay his tax bill or taken a cut in his expensive lifestyle, but the complaint also says he thought he would have a …
https://www.hflawreport.com/article/1553
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 ...
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.businessinsider.com/phil-falcone-tax-fraud-sec-complaint-2012-6
The SEC just sued billionaire Phil Falcone with fraud. Everything from betraying investors to manipulating bonds is included in their complaints against the hedge fund manager (you can read the ...Author: Linette Lopez
http://www.josephmbelth.com/2017/12/no-244-long-term-care-insurance-and.html
In the first complaint, the SEC sought a permanent injunction against future violations, disgorgement of ill-gotten gains, and civil monetary penalties, and, in the second complaint, a permanent prohibition against Falcone serving as an officer or director of a public company.
https://www.businessinsider.com/phil-falcone-st-barts-estate-2012-7
In the SEC's complaint, the regulatory authority alleges that back in 2009 Falcone used Harbinger's Special Situations Fund (SSF) money, which he allegedly had blocked investors from withdrawing ...Author: Julia La Roche
https://www.law360.com/articles/398096/harbinger-falcone-say-sec-s-fraud-claims-fail
Harbinger, Falcone Say SEC's Fraud Claims Fail ... the defendants say the SEC accuses them of engaging in an illegal “short squeeze,” a form of market manipulation that occurs when a trader ...Author: Lisa Uhlman
https://en.wikipedia.org/wiki/Philip_Falcone
Philip A. Falcone is an American businessman and the founder of Harbinger Capital and LightSquared. In March 2014, he was the 1565th richest person in the world with a …Alma mater: Harvard University
https://nypost.com/2012/06/28/sec-falcone-used-hedge-fund-as-piggy-bank/
Jun 28, 2012 · SEC: Falcone used hedge fund as piggy bank ... according to the complaint. The SEC said Falcone was also sinking a lot of money into motion pictures — most likely with his wife Lisa’s ...
https://www.forbes.com/sites/danielfisher/2014/01/29/why-settling-with-the-sec-can-be-worse-than-losing-at-trial/
Jan 29, 2014 · This issue highlights the fact that going to trial against the SEC and losing may actually be strategically preferable than admitting to wrongdoing in a settlement with the SEC.
https://www.americanbar.org/groups/business_law/publications/blt/2013/10/keeping_current/
Oct 31, 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.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.fa-mag.com/news/falcone-sued-by-sec-over-personal-loan-market-manipulation-11160.html
Jun 28, 2012 · Falcone Sued by SEC Over Personal Loan, Market Manipulation. ... the SEC said. Falcone and Jenson, 46, disregarded the advice of one law …
https://www.bloomberg.com/news/articles/2012-12-01/harbinger-falcone-ask-court-to-throw-out-sec-lawsuits
Dec 01, 2012 · The SEC, in a separate complaint, alleged that Falcone and two of his funds engaged in a short-squeeze of MAAX Holdings Inc. bonds, a transaction …
https://nymag.com/intelligencer/2012/06/falcone-calls-sec-charges-piece-of-cake.html
The SEC ’s complaint says that Falcone and Peter A. Jenson, Harbinger’s former COO, misled their lawyers while seeking advice on whether or not to take the loan.
https://www.law360.com/articles/466124/sec-chief-wins-falcone-admission-but-at-staff-s-expense
SEC Chief Wins Falcone Admission, But At Staff's Expense. ... The other complaint alleged Falcone and Harbinger conducted an illegal “short squeeze” by buying up a market's worth of distressed ...Author: Max Stendahl
https://www.sdnyblog.com/falcone-says-so-what-to-sec-allegations/
Dec 06, 2012 · On Friday, hedge fund manager Philip Falcone filed two motions to dismiss SEC charges against him and his firm, Harbinger Capital. (A prior post on the charges is here.)) One set of charges accuses Falcone of a “short squeeze” — buying up securities to “squeeze” short sellers into paying more to cover their shorts — and Falcone argues there is nothing fraudulent about that:
https://www.secactions.com/investors-executing-a-short-squeeze-are-the-victims-of-scalping/
Jul 23, 2012 · A short squeeze was at the center of a recent SEC complaint brought against well known investment adviser Philip Falcone. SEC v. Falcone, 12 Civ 5027 (S.D.N.Y. Filed June 27, 2012). There the Commission alleged that Mr. Falcone purchased the float and more for an outstanding security so that he could force the short interest holders against whom he had a grudge to buy from him to cover – a ...
Searching for Sec Falcone Complaint information?
To find needed information please click on the links to visit sites with more detailed data.
