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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 5(a)
Sec 5(c)
Sec 17(a)(1)
Sec 17(a)(2)
Sec 17(a)(3)
Sec 17(a) (Not specified)
Other
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:
First Resolution Date 10-Jul-2019

Related Documents:

comp24262 07-Sep-2018 Complaint
Complaint and Jury Demand
comp24431 08-Mar-2019 Complaint
First Amended Complaint and Jury Demand
court_doc152_18-cv-08175 10-Jul-2019 Court Docket Document
Judgment as to Defendant Barry C. Honig
comp24771 16-Mar-2020 Complaint
Second Amended Complaint and Jury Demand

Other Defendants in Action: