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Securities and Exchange Commission v. Harbinger Capital Partners LLC et al
Case Number:
1:12-cv-05028
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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July 28, 2014
Harbinger COO Admits Wrongdoing In SEC Settlement
A former Harbinger Capital Partners LLC executive has admitted wrongdoing in connection with his role in the hedge fund's $113 million loan scandal, the U.S. Securities and Exchange Commission said Monday, giving the agency a three-for-three record on admissions of wrongdoing in the closely watched Harbinger cases.
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June 17, 2014
Ex-Harbinger COO Inks Settlement With SEC In Fraud Case
The former chief operating officer of Harbinger Capital Partners LLC has cut a deal with the U.S. Securities and Exchange Commission in the agency's fraud suit that the hedge fund and owner Philip Falcone previously settled for $18 million, according to a Tuesday filing in New York federal court.
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February 11, 2014
Ex-Harbinger Exec Close To Pact With SEC In Fraud Suit
The former chief operating officer of Harbinger Capital Partners LLC is close to reaching a settlement with the U.S. Securities and Exchange Commission in a fraud suit that the hedge fund and owner Philip Falcone previously settled for $18 million, according to a Tuesday court filing.
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September 16, 2013
Judge OKs $18M Falcone Settlement With SEC
A New York federal judge on Monday approved an $18 million settlement between Philip Falcone and the U.S. Securities and Exchange Commission in which the ex-hedge fund manager admitted wrongdoing in borrowing more than $113 million of his investors' money and running an illegal "short squeeze."
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August 19, 2013
SEC Chief Wins Falcone Admission, But At Staff's Expense
U.S. Securities and Exchange Commission Chairman Mary Jo White may have thrown her enforcement division under the bus by rejecting its proposed settlement with Philip Falcone in favor of a landmark $18 million deal Monday that forces the hedge fund executive to admit guilt, attorneys say.
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August 19, 2013
Falcone Admits Wrongdoing In Landmark $18M SEC Pact
Philip Falcone and his hedge fund Harbinger Capital Partners LLC on Monday admitted wrongdoing as part of an $18 million fraud settlement with the U.S. Securities and Exchange Commission, as the agency broke with its long-standing policy of allowing defendants to neither admit nor deny guilt.
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May 09, 2013
Falcone Faces Industry Ban Under $18M SEC Pact
Philip Falcone and his hedge fund Harbinger Capital Partners LLC have struck an $18 million settlement in two U.S. Securities and Exchange Commission suits that includes a two-year industry ban for the once-celebrated investment manager, the firm said Thursday.
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February 28, 2013
SEC Says It Can Bring Suit Over Falcone's 'Spiteful' Trades
The U.S. Securities and Exchange Commission can sue Philip Falcone over market activity allegedly designed to spite Goldman Sachs Group Inc. even if the hedge fund founder lost money on them, a commission lawyer told a New York federal judge Thursday.