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This profile was last updated on 7/4/13  and contains information from public web pages and contributions from the ZoomInfo community.

Mr. Harold J. Baxter

Wrong Harold J. Baxter?

Chairman and Chief Executive Offi...

Pilgrim Baxter & Assoc. , Ltd.
 
Background

Employment History

  • President
    PBHG Funds
  • Chief Executive Officer
    PBHG Funds
  • Chief Executive Officer and Chairman
    Pilgrim Baxter & Associates
  • Chairman, Chief Executive Officer and A Founder
    Pilgrim Baxter & Associates
  • President
    Wall Street Discount Corporation

Board Memberships and Affiliations

74 Total References
Web References
campbell
www.endgame.org, 4 July 2013 [cached]
Harold J. Baxter, Chairman and Chief Executive, Officer, Pilgrim Baxter & Assoc., Ltd. , Wayne, Pennsylvania.
Amid probe, Pilgrim Baxter founders quit - 2003-11-13 - Philadelphia Business Journal
www.bizjournals.com, 13 Nov 2003 [cached]
Pilgrim Baxter & Associates founders Harold J. Baxter and Gary L. Pilgrim resigned from the Wayne, Pa.-based mutual fund firm after an internal investigation raised questions about market timing of the PBHG Funds.
...
Baxter was CEO and chairman of Pilgrim Baxter, and Pilgrim was president of the PBHG Funds.
...
It also said that Baxter knew what the partnership was doing.
Today in Investor's Business Daily stock analysis and business news
www.investors.com, 21 Nov 2003 [cached]
Gary Pilgrim and Harold Baxter, once respected leaders of the PBHG mutual fund family, were charged by regulators Thursday with some of the most egregious acts yet to emerge from the ever-worsening mutual fund scandal.
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Baxter, 57, PBHG's CEO, knew about Pilgrim's timing and allowed it, according to the suits.Baxter also let a close friend, Alan Lederfeind, president of the discount brokerage Wall Street Discount, time PBHG funds along with Wall Street Discount customers.
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Pilgrim and Baxter resigned on Nov. 13.
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Pilgrim and Baxter founded their firm in 1982.
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The suits say Baxter leaked non-public information about PBHG fund holdings to Lederfeind to facilitate his fund timing.
Pilgrim Baxter & Associates, Ltd., Settlement Website
www.pbafairfundsettlements.com, 4 Jan 2012 [cached]
Also, on November 17, 2004, the SEC instituted administrative and cease-and-desist proceedings against Gary L. Pilgrim and Harold J. Baxter.
...
Mr. Baxter is the former Chief Executive Officer and Chairman of the Board of Directors of Pilgrim Baxter & Associates, Ltd., the investment adviser to the PBHG family of mutual funds.
The Commission found that, contrary to the disclosures made in the prospectuses of all PBHG Funds since at least 1996, PBA, acting through Mr. Pilgrim and Mr. Baxter, allowed various account holders to engage in transactions that violated the fund's prospectus disclosures from at least June 1998 through December 2001.
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The Commission also found that PBA, acting through Mr. Pilgrim and Mr. Baxter, allowed various account holders to make more than 4 exchanges per year into the PBHG Cash Reserves Fund from other PBHG Funds.
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Also, Mr. Pilgrim and Mr. Baxter each were ordered to pay $60 million in disgorgement and $20 million in a civil penalty for distribution to affected shareholders.
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The role of the IDC is to develop a plan for distributing the total $250 million settlement payment to shareholders in PBHG Funds who may have been affected by the alleged market timing described in the June 21, 2004 SEC Administrative proceeding and the subsequent Administrative Proceedings dated November 17, 2004 involving Mr. Pilgrim and Mr. Baxter.
UAM Press Release 05/17/96 (b)
www.uamfunds.com, 17 May 1996 [cached]
Harold J. Baxter, 50, Chairman, Chief Executive Officer and a founder of Pilgrim Baxter & Associates, of Wayne, Pennsylvania, with over $10 billion in assets under management.Acquired by UAM in 1995, Pilgrim Baxter specializes in growth stock management with a disciplined investment process focusing on universe construction, quantitative screening, intensive fundamental research and diversified portfolio construction for institutional clients, mutual funds and hedge funds.Baxter serves as Chairman of the PBHG funds, Inc. and is a member of the board of Archbishop Molloy High School.
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