Defendant Name:
Brian Keller
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: Director—No Specific Position Named in Document at an unidentified individual or entity (March 2011—January 2014)
- Current: President at an unidentified individual or entity
- Current: Senior Vice President at an unidentified individual or entity
- Former: Chief Scientific Officer at an unidentified individual or entity (March 2011—January 2014)
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
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.
Brian Keller is alleged to have aided and abetted
John Stetson's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Brian Keller is alleged to have aided and abetted
Michael Brauser'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.
Brian Keller 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.
Brian Keller is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 15(d) of the Exchange Act.
Brian Keller 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
John Stetson's violation of Sec 17(a)(1) of the Securities Act.
Brian Keller is alleged to have aided and abetted
Michael Brauser'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.
Brian Keller is alleged to have aided and abetted an unidentified individual or entity'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)(3) of the Securities Act.
Brian Keller is alleged to have aided and abetted
John Stetson's violation of Sec 17(a)(3) of the Securities Act.
Brian Keller is alleged to have aided and abetted
Michael Brauser'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.
Brian Keller is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 17(a)(3) of the Securities Act.
Brian Keller is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 15d-1 Exchange Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company (of permanent duration)
- Bar from participating in any penny stock offering (of permanent duration)
First Resolution Date
29-Mar-2019
Other Defendants in Action:
