Defendant Name: Alpha Capital Anstalt

Defendant Type: Other

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

Violations Alleged

Securities Act
• Sec 5(a)
• Sec 5(c)

Resolutions

First Resolution Date 06-Feb-2019
Headline Total Penalty and Disgorgement $908,259

Related Documents:

comp24262 07-Sep-2018 Complaint
Complaint and Jury Demand
court_doc92_18-cv-08175 06-Feb-2019 Court Docket Document
Final Judgment as to Alpha Capital Anstalt
The Court stated: "The Securities and Exchange Commission having filed a Complaint and Defendant Alpha Capital Anstalt having entered a general appearance; consented to the Court's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment"

Other Defendants in Action:

Opko Health Inc.
ATG Capital LLC
Frost Gamma Investments Trust
GRQ Consultants, Inc.
HS Contrarian Investments, LLC
Grander Holdings, Inc.
Melechdavid, Inc.
Stetson Capital Investments, Inc.
Southern Biotech, Inc.
Barry C. Honig
John Stetson
John H. Ford
Michael Brauser
Brian Keller
John R. O'Rourke III
Elliot Maza
Robert Ladd
Phillip Frost
Mark Groussman