Defendant Name:
John R. O'Rourke III
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
- Current: Owner at ATG Capital LLC
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 John R. O'Rourke III's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Melechdavid, Inc. is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Opko Health Inc. is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Brian Keller is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Robert Ladd is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Phillip Frost is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Mark Groussman is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Frost Gamma Investments Trust is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(1) of the Securities Act.
Melechdavid, Inc. is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(1) of the Securities Act.
Opko Health Inc. is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(1) of the Securities Act.
Brian Keller is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(1) of the Securities Act.
Robert Ladd is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(1) of the Securities Act.
Phillip Frost is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(1) of the Securities Act.
Mark Groussman is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(1) of the Securities Act.
Frost Gamma Investments Trust is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(3) of the Securities Act.
Melechdavid, Inc. is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(3) of the Securities Act.
Opko Health Inc. is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(3) of the Securities Act.
Brian Keller is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(3) of the Securities Act.
Robert Ladd is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(3) of the Securities Act.
Phillip Frost is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(3) of the Securities Act.
Mark Groussman is alleged to have aided and abetted John R. O'Rourke III's violation of Sec 17(a)(3) of the Securities Act.
Resolutions
Bars:
- Bar from participating in any penny stock offering (of permanent duration)
First Resolution Date
06-Mar-2020
Headline Total Penalty and Disgorgement
$1,153,326
Other Defendants in Action:
