Harbinger Capital Partners LLC和对冲基金顾问Philip A. Falcone面临SEC证券对客户资产盗用和市场操纵指控的费用bob200体育

SEC已提交bob200体育证券收费针对Harbinger Capital Partners LLC及其所有者Philip A. Falcone。SEC指责他们的许多指控，包括从事市场操纵和客户资产盗用。前先驱者彼得·A·詹森（Peter A. Jenson）也面临SEC的指控。

The Commission accused Falcone, who is a hedge fund adviser headquartered in New York, of paying his taxes with fund assets, getting involved in a “short squeeze” that was not legal to manipulate the prices of bonds, and secretly favoring some clients to the disadvantage of other clients. The SEC contended that after short selling equity securities during a period that was restricted, Harbinger then illegally purchased the same ones in a public offering.

该委员会声称，与其使用法律手段来支付他所欠的1.132亿美元的个人税，而是通过向Harbinger Capital Partners特殊情况基金会借入该金额来欺诈性地使用了基金资产（投资者已从该基金中赎回了投资者）。监管机构说，所有这些都是在未经投资者许可的情况下完成的。

该委员会还辩称，海宾格和法尔科内等待了大约五个月的贷款，因为他们担心使对冲基金顾问的财务状况已知可能会对投资者的提款产生负面影响，而法尔科内有能力为其他Harbinger基金带来更多投资。

The SEC is accusing Harbinger and Falcone, with Jenson’s help, of making a number of key omissions and misrepresentations in getting legal counsel and when communicating with investors about: the financing options that had been available to Falcone, the reasons why he needed the loan, the fund’s ability to not harm investors while covering the loan, the loan’s conditions and terms, and the part that Harbinger’s legal counsel played. Falcone paid back the loan last year after the SEC started investigating this matter. In connection with this alleged scam, the SEC separately filed and settled cease-and-desist and administrative proceedings against Harbinger.

The Commission also filed another civil case contending that between ‘06 through early ‘08, two Harbinger entities and Falcone engaged in market manipulation of distressed high-yield bonds issued by MAXX Holdings Inc. The three of them allegedly took part in a “short squeeze” that was not legal and, on Falcone’s order, Harbinger bought a huge position in the bonds in 4/06 and 6/06.

When he heard rumors that a financial services firm was shorting the bonds and suggesting that its clients follow suit, Falcone allegedly decided to retaliate by telling the funds that were managed by Harbinger to purchase every bond that was available, which caused the funds’ stakes to go up about 13% more than what was actually available.

然后，该金融服务公司及其客户被告知他们必须解决未来的Maax卖空销售，这是不可能的。随着金融服务公司每天竞标债券，债券价格增加了一倍。Falcone被指控当时以既夸张又任意的价格参加交易，并有许多卖方。

秒Complaint: Harbinger Capital Partners LLC; Philip A. Falcone; and Peter A. Jenson(PDF)

秒Complaint: Philip A. Falcone, Harbinger Capital Partners Offshore Manager, L.L.C., and Harbinger Capital Partners Special Situations GP, L.L.C.(PDF)

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Montford Associates支付650,000美元的证券和交易委员会bob200体育罚款，因为未能从2012年5月1日对冲基金，机构投资者证券博客披露付款

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