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
•
Sec 17(a) (Not specified)
•
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
Headline Total Penalty and Disgorgement
$1,763,966
Other Defendants in Action:
