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Securities and Exchange Commission v. Falcone et al
Case Number:
1:12-cv-05027
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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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
Falcone's SEC Admission Leaves Criminal Charges Up In Air
Although Philip Falcone and his hedge fund Harbinger Capital Partners LLC may have exposed themselves to criminal charges with their admission of wrongdoing Monday in a $18 million fraud settlement with the U.S. Securities and Exchange Commission, prosecution might be viewed unfavorably by judges and the public, experts say.
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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.
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December 03, 2012
Harbinger, Falcone Say SEC's Fraud Claims Fail
Harbinger Capital Partners LLC and founder Philip Falcone asked a New York federal court on Friday to dismiss a U.S. Securities and Exchange Commission fraud suit against them, saying the claims fail because the regulator alleges no misrepresentations, omissions or illegal profits.
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June 27, 2012
SEC Sues Falcone Over Market Manipulation, $113M Loan
The U.S. Securities and Exchange Commission on Wednesday sued Philip A. Falcone and his hedge fund, Harbinger Capital Partners LLC, claiming the billionaire investment adviser manipulated bond prices, gave preferential treatment to certain investors and used firm assets to pay his taxes.