• Home
  • About
  • Webcasts
  • ‘Enforcement 40’ for 2020
  • Enforcement Hall of Fame
  • Contact
Securities Docket
Securities-Docket-Leaderboard_9Sec
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
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

Blog Widget by LinkWithin

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

« Previous Next »

‘Enforcement 40’ for 2020

Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2021 Securities Docket.

Powered by WordPress and Hybrid.