Defendant Name:
Robert Ladd
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: Director—No Specific Position Named in Document at an unidentified individual or entity
- Current: CEO at an unidentified individual or entity (From February 10, 2011)
Violations Alleged
•
Section 16(a) Exchange Act; Rule 16a-3 Exchange Act
Related Violations Alleged
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.
Robert Ladd is alleged to have aided and abetted
John Stetson's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Robert Ladd is alleged to have aided and abetted
Michael Brauser'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.
Robert Ladd is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Robert Ladd is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Robert Ladd is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Robert Ladd is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Robert Ladd 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
John Stetson's violation of Sec 17(a)(1) of the Securities Act.
Robert Ladd is alleged to have aided and abetted
Michael Brauser'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.
Robert Ladd is alleged to have aided and abetted an unidentified individual or entity'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)(3) of the Securities Act.
Robert Ladd is alleged to have aided and abetted
John Stetson's violation of Sec 17(a)(3) of the Securities Act.
Robert Ladd is alleged to have aided and abetted
Michael Brauser'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.
Robert Ladd is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 17(a)(3) of the Securities Act.
Robert Ladd is alleged to have aided and abetted an unidentified individual or entity's violation of Section 13(a) Exchange Act; Rules 12b-20, 13a-1 Exchange Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
29-Aug-2024
Headline Total Penalty and Disgorgement
$1,121,144
Other Defendants in Action:
