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2015-10-20T00:00:00.000Z

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Wrong Harold Baxter?

Mr. Harold Baxter J.

Chairman and Chief Executive Officer, Officer

Pilgrim Baxter & Assoc. , Ltd.

Pilgrim Baxter & Assoc. , Ltd.

Background Information

Employment History

President
PBHG Funds

Chairman, Chief Executive Officer and A Founder
Pilgrim Baxter & Associates

Chief Executive Officer and Chairman
Pilgrim Baxter & Associates

President
Wall Street Discount Corporation

Affiliations

Chairman and Trustee
PBHG Funds

Board Member
United Asset Management

Web References (74 Total References)


campbell

www.endgame.org [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 [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.
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It also said that Baxter knew what the partnership was doing.


Adviser News

www.moneymanagerservices.com [cached]

11.20.2003 The SEC filed a civil injunctive action in the United States District Court for the Eastern District of Pennsylvania against Gary L. Pilgrim, of Malvern, PA, Harold J. Baxter, of Berwyn, PA and Pilgrim Baxter & Associates, Ltd. (Pilgrim Baxter), a registered investment adviser headquartered in Wayne, PA, charging them with fraud and breach of fiduciary duty in connection with market timing of the PBHG Funds.

...
Baxter was the CEO and Chairman of Pilgrim Baxter & Associates, and the Chairman and trustee of the PBHG Funds and the PBHG Insurance Series Fund.
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In March 2000, with the approval of both Pilgrim and Baxter, Appalachian began market timing several PBHG funds including the PBHG Growth Fund, whose portfolio was managed by Pilgrim.
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Neither Pilgrim nor Baxter disclosed to the Board of Pilgrim Baxter & Associates, the Board of Trustees of the funds, or fund shareholders, that Pilgrim had an extensive financial interest in Appalachian and that Appalachian had been permitted to implement its trading strategy in PBHG funds.
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In addition, the SEC alleges that Baxter provided non-public PBHG Fund portfolio information to a close friend in the brokerage business, who was president of Wall Street Discount Corporation, a registered broker-dealer.


UAM Press Release 05/17/96 (b)

www.uamfunds.com [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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www.sec.gov [cached]

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