HARBINGER CAPITAL PARTNERS LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 160538). Regulatory assets under management: $134.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Philip Alan Falcone | MANAGING MEMBER; SENIOR MANAGING DIRECTOR, CEO, CHIEF INVESTMENT OFFICER, PRESIDENT, TREASURER AND MEMBER | — |
| Jonathan Orr | CCO | Westbury, NY |
| HLADEK ROBERT MICHAEL | CHIEF FINANCIAL OFFICER OF HARBINGER CAPITAL PARTNERS II LP; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER OF HARBINGER CAPITAL PARTNERS LLC (+1 more) | — |
| ROGER ROBIN NA | CHIEF COMPLIANCE OFFICER, CO-CHIEF OPERATING OFFICER, MANAGING DIRECTOR AND GENERAL COUNSEL OF HARBINGER CAPITAL PARTNERS LLC; MANAGING DIRECTOR, GENERAL COUNSEL AND SECRETARY OF HARBINGER CAPITAL PARTNERS II LP | — |
| FALCONE PHILIP ALAN | LIMITED PARTNER; MANAGING MEMBER; SENIOR MANAGING DIRECTOR, CEO, CHIEF INVESTMENT OFFICER, PRESIDENT, TREASURER AND MEMBER (+2 more) | — |
| ESTUS IAN W | MEMBER OF HARBINGER CAPITAL PARTNERS LLC; VICE PRESIDENT OF HARBINGER CAPITAL PARTNERS II LP; VICE PRESIDENT OF HARBINGER CAPITAL PARTNERS LLC | — |
| CHOI JUNG TAE | DIRECTOR OF HARBINGER CAPITAL PARTNERS PTE. LTD. | — |
| MCGINNIS JAMES PATRICK | DIRECTOR OF HARBINGER CAPITAL PARTNERS PTE. LTD. | — |
| DELMAN ALAN STEVEN | CHIEF COMPLIANCE OFFICER | — |
| Orr Jonathan | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2012-06-27 | regulatory | SEC ALLEGED THAT HARBINGER WILLFULLY VIOLATED RULE 105 OF REGULATION M UNDER THE SECURITIES EXCHANGE ACT OF 1934 ON THREE SEPARATE OCCASIONS. | Final | $429K |
| 2012-06-27 | civil | SEC ALLEGES VIOLATIONS OF THE ANTI-FRAUD PROVISIONS OF THE FEDERAL SECURITIES LAWS IN CONNECTION WITH A LOAN MADE BY HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P. TO PHILIP A. FALCONE IN OCTOBER 2009 AND THE CIRCUMSTANCES AND DISCLOSURE REGARDING ALLEGED PREFERENTIAL TREATMENT OF, AND AGR… | Final | $10.5M |
| 2012-06-27 | civil | SEC ALLEGES VIOLATION OF THE ANTI-FRAUD PROVISIONS OF THE FEDERAL SECURITIES LAWS BY ENGAGING IN MARKET MANIPULATION IN CONNECTION WITH THE TRADING OF THE DEBT SECURITIES OF A PARTICULAR ISSUER FROM 2006 TO 2008. | Final | $10.5M |