Defendant Name:
Barry C. Honig
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc.
First Document Date
07-Sep-2018
Initial Filing Format
Civil Proceeding
Case Number
18-cv-08175
Allegation Type
Market Manipulation
Federal District Court
New York, Southern District of New York
Affiliations
- Former: President at Southern Biotech, Inc.
- Current: Controlling Shareholder at GRQ Consultants, Inc.
- Current: Controlling Shareholder at HS Contrarian Investments, LLC
- Current: Owner at GRQ Consultants, Inc.
- Current: Co-Owner at HS Contrarian Investments, LLC
- Current: Co-Owner at Southern Biotech, Inc.
Violations Alleged
•
Sec 17(a) (Not specified)
•
Sections 9(a)(1), 9(a)(2), 13(d) Exchange Act; Rule 13d-1(a) Exchange Act
Additionally,
Frost Gamma Investments Trust is alleged to have aided and abetted Barry C. Honig's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Melechdavid, Inc. is alleged to have aided and abetted Barry C. Honig's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Opko Health Inc. is alleged to have aided and abetted Barry C. Honig's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Brian Keller is alleged to have aided and abetted Barry C. Honig's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Robert Ladd is alleged to have aided and abetted Barry C. Honig's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Phillip Frost is alleged to have aided and abetted Barry C. Honig's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Mark Groussman is alleged to have aided and abetted Barry C. Honig's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Frost Gamma Investments Trust is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(1) of the Securities Act.
Melechdavid, Inc. is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(1) of the Securities Act.
Opko Health Inc. is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(1) of the Securities Act.
Brian Keller is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(1) of the Securities Act.
Robert Ladd is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(1) of the Securities Act.
Phillip Frost is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(1) of the Securities Act.
Mark Groussman is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(1) of the Securities Act.
Frost Gamma Investments Trust is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(3) of the Securities Act.
Melechdavid, Inc. is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(3) of the Securities Act.
Opko Health Inc. is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(3) of the Securities Act.
Brian Keller is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(3) of the Securities Act.
Robert Ladd is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(3) of the Securities Act.
Phillip Frost is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(3) of the Securities Act.
Mark Groussman is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(3) of the Securities Act.
Resolutions
Bars:
- Bar from participating in any penny stock offering (of permanent duration)
- Bar "from, directly or indirectly: (a) holding any beneficial ownership in any issue of Penny Stock that amounts to greater than 4.99 percent of that issuer's outstanding stock . . . provided, however, that such bar shall not apply to Defendant's holdings in PolarityTE, Inc. and Americas Silver Corp.; (b) advertising, marketing, or otherwise promoting any issuer of Penny Stock; . . . (c) exercising control . . . of any issuer of Penny Stock; and (d) providing funding to any issuer of Penny Stock" (of permanent duration)
First Resolution Date
10-Jul-2019
Other Defendants in Action: