Defendant Name:
Alpha Capital Anstalt
Defendant Type:
Other
Document Reference:
court_doc92_18-cv-08175
Document 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, 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.
Document Name
Final Judgment as to Alpha Capital Anstalt
Document Date
06-Feb-2019
Document Format
Civil Proceeding
Case Number
18-cv-08175
Federal District Court
New York, Southern District of New York
Federal District Judge
Edgardo Ramos
Allegation Type
Market Manipulation
Document Summary
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"
Disgorgement & Penalty Information
Resolutions
Enjoinment
Compliance Related Independent Consultant
Other Compliance Related Undertaking
Various undertakings
Monetary Penalties:
Disgorgement
Individual:
$708,470.07
Shared:
Civil Penalty
Individual:
$50,000.00
Shared:
Pre-Judgment Interest
Individual:
$149,788.44
Shared:
Total Penalty
Individual:
$908,258.51
Shared:
Other Defendants in Action:
