Defendant Name: Frost Gamma Investments Trust

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

Exchange Act
• Sec 10(b) + Rule 10b-5
• Sec 20(e)
Securities Act
• Sec 15(b)
• Sec 17(a)(2)
Other
• Section 13(d); Rule 13d-1(a) Exchange Act

Related Violations Alleged

Frost Gamma Investments Trust is alleged to have aided and abetted Barry C. Honig'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 Stetson's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Frost Gamma Investments Trust is alleged to have aided and abetted Michael Brauser'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 10(b) + Rule 10b-5 of the Exchange Act.
Frost Gamma Investments Trust is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(1) of the Securities Act.
Frost Gamma Investments Trust is alleged to have aided and abetted John Stetson's violation of Sec 17(a)(1) of the Securities Act.
Frost Gamma Investments Trust is alleged to have aided and abetted Michael Brauser'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)(1) of the Securities Act.
Frost Gamma Investments Trust is alleged to have aided and abetted Barry C. Honig's violation of Sec 17(a)(3) of the Securities Act.
Frost Gamma Investments Trust is alleged to have aided and abetted John Stetson's violation of Sec 17(a)(3) of the Securities Act.
Frost Gamma Investments Trust is alleged to have aided and abetted Michael Brauser's violation of Sec 17(a)(3) 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.

Resolutions

First Resolution Date 10-Jan-2019

Related Documents:

comp24262 07-Sep-2018 Complaint
Complaint and Jury Demand
court_doc76_18-cv-08175 10-Jan-2019 Court Docket Document
Final Judgment as to Frost Gamma Investments Trust
The Court stated: "The Securities and Exchange Commission having filed a Complaint and Defendant Frost Gamma Investments Trust 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.
Alpha Capital Anstalt
ATG Capital LLC
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