Securities Enforcement Empirical Database (SEED)

Defendant Name: Phillip R. Jacoby, Jr.

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Osiris Therapeutics, Inc.; Phillip R. Jacoby, Jr.; Gregory I. Law; Lode B. Debrabandere; and Boddy Dwayne Montgomery

First Document Date 02-Nov-2017

Initial Filing Format Civil Proceeding

Case Number 17-cv-03230

Allegation Type Issuer Reporting and Disclosure

Federal District Court Maryland, District of Maryland

Affiliations

Former: CFO at Osiris Therapeutics, Inc. (Until September 2015)
Principal Accounting Officer at Osiris Therapeutics, Inc. (From September 2015)

Violations Alleged

Exchange Act

• Sec 10(b) + Rule 10b-5

• Rule 13a-14

• Sec 13(b)(5)

Securities Act

• Sec 17(a) (Not specified)

Other

• Sec 304(a) Sarbanes-Oxley Act

• Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Phillip R. Jacoby, Jr. is alleged to have aided and abetted Osiris Therapeutics, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).

Phillip R. Jacoby, Jr. is alleged to have aided and abetted Osiris Therapeutics, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).

Phillip R. Jacoby, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.

Phillip R. Jacoby, Jr. is alleged to have aided and abetted Osiris Therapeutics, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).

Phillip R. Jacoby, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.

Phillip R. Jacoby, Jr. is alleged to have aided and abetted Osiris Therapeutics, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).

Phillip R. Jacoby, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.

Phillip R. Jacoby, Jr. is alleged to have aided and abetted Osiris Therapeutics, Inc.'s violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).

Phillip R. Jacoby, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.

Phillip R. Jacoby, Jr. is alleged to have aided and abetted Osiris Therapeutics, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).

Phillip R. Jacoby, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.

Phillip R. Jacoby, Jr. is alleged to have aided and abetted Osiris Therapeutics, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).

Phillip R. Jacoby, Jr. is alleged to have aided and abetted Osiris Therapeutics, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).

Phillip R. Jacoby, Jr. is alleged to have aided and abetted Osiris Therapeutics, Inc.'s violation of Sec 17(a)(1) of the Securities Act (willfully/knowingly).

Phillip R. Jacoby, Jr. is alleged to have aided and abetted Osiris Therapeutics, Inc.'s violation of Sec 17(a)(2) of the Securities Act (willfully/knowingly).

Phillip R. Jacoby, Jr. is alleged to have aided and abetted Osiris Therapeutics, Inc.'s violation of Sec 17(a)(3) of the Securities Act (willfully/knowingly).

Resolutions

Bars:

Bar from acting as Director or Officer of a public company (of unspecified duration)

First Resolution Date 17-Mar-2023

Other Defendants in Action:

Gregory I. Law

Lode B. Debrabandere

Bobby Dwayne Montgomery

Osiris Therapeutics, Inc.

Related Actions:

In the Matter of Philip R. Jacoby, Jr., CPA

Phillip R. Jacoby, Jr.