Securities and Exchange Commission v. Honig et al
| New York Southern District Court | |
| Judge: | Edgardo Ramos |
| Case #: | 1:18-cv-08175 |
| Nature of Suit | 850 Other Statutes - Securities/Commodities/Exchange |
| Cause | 15:77 Securities Fraud |
| Case Filed: | Sep 07, 2018 |
| Last checked: Wednesday Mar 06, 2019 4:22 AM EST |
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Defendant
Stetson Capital Investments Inc.
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Defendant
John Stetson
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Defendant
Southern Biotech, Inc.
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Defendant
John R. O'Rourke, III
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Defendant
Elliot Maza
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Defendant
Robert Ladd
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Defendant
Brian Keller
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Defendant
Barry C. Honig
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Defendant
HS Contrarian Investments, LLC
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Defendant
Grander Holdings, Inc.
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Defendant
GRQ Consultants, Inc.
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Defendant
Michael Brauser
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Defendant
ATG Capital LLC
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Plaintiff
Securities and Exchange Commission
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| TERMINATED PARTIES | |
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Defendant
Alpha Capital Anstalt
Terminated: 02/06/2019
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Defendant
OPKO Health, Inc.
Terminated: 01/10/2019
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Defendant
Melechdavid, Inc.
Terminated: 02/06/2019
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Defendant
Mark Groussman
Terminated: 02/06/2019
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Defendant
Frost Gamma Investments Trust
Terminated: 01/10/2019
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Defendant
Phillip Frost
Terminated: 01/10/2019
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Defendant
John H. Ford
Terminated: 09/21/2018
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| 1. | Billionaire Opko CEO Frost among 10 named in SEC civil lawsuit (bizjournals.com) |
| Submitted Mon 09/10/2018 | |
| Docket last updated: 11/25/2024 11:59 PM EST |
| Thursday, August 29, 2024 | ||
| 352 | 352
order
Judgment ~Util - Add and Terminate Parties
Thu 08/29 1:52 PM
FINAL JUDGMENT AS TO DEFENDANT ROBERT LADD: NOW, THEREFORE, IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Exchange Act [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security, as further set forth. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $1,121,144 pursuant to Section 20(d)(2) of the Securities Act [15 U.S.C. § 77t(d)(2)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)]. Defendant shall satisfy this obligation by paying $1,121,144 to the Securities and Exchange Commission within 30 days after entry of this Final Judgment. Defendant may transmit payment electronically to the Commission, which will provide detailed ACH transfer/Fedwire instructions upon request. Payment may also be made directly from a bank account via Pay.gov through the SEC website at http://www.sec.gov/about/offices/ofm.htm, as further set forth. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. Robert Ladd terminated. (Signed by Judge Edgardo Ramos on 8/29/2024) (mml) |
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