Defendant Name:
Phillip Frost
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: CEO at Opko Health Inc.
- Current: Founder at Opko Health Inc.
- Current: Trustee at Frost Gamma Investments Trust
Violations Alleged
•
Section 13(d); Rule 13d-1(a) Exchange Act
Related Violations Alleged
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.
Phillip Frost is alleged to have aided and abetted
John Stetson's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Phillip Frost is alleged to have aided and abetted
Michael Brauser'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.
Phillip Frost 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
John Stetson's violation of Sec 17(a)(1) of the Securities Act.
Phillip Frost is alleged to have aided and abetted
Michael Brauser'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.
Phillip Frost 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
John Stetson's violation of Sec 17(a)(3) of the Securities Act.
Phillip Frost is alleged to have aided and abetted
Michael Brauser'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.
Resolutions
Bars:
- Bar from participating in any penny stock offering (of permanent duration)
First Resolution Date
10-Jan-2019
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
