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Browse: Home / 2013 / May / 10 / Harbinger Discloses Settlement With SEC Imposing Two-Year Bar on Philip Falcone

Harbinger Discloses Settlement With SEC Imposing Two-Year Bar on Philip Falcone

By Securities Docket on May 10, 2013, 9:42 am

In June 2012, the SEC sued hedge fund adviser Philip Falcone and Harbinger Capital for alleged misconduct that it claimed resembled “the final exam in a graduate school course in how to operate a hedge fund unlawfully.” This week a settlement was reached that, among other things, would bar Falcone from serving as an investment adviser for two years.

via Harbinger Discloses Settlement With SEC Imposing Two-Year Bar on Philip Falcone – Compliance Week

Posted in SEC, Top | Tagged Bars, Hedge Funds, Settlements

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