Securities and Exchange Commission v. Honig et al

Justia Dockets & Filings Second Circuit New York Southern District Securities and Exchange Commission v. Honig et al

Securities and Exchange Commission v. Honig et al

Plaintiff:	Securities and Exchange Commission
Defendant:	Alpha Capital Anstalt, ATG Capital LLC, Michael Brauser, Barry C. Honig, John R. O'Rourke, III, Brian Keller, Melechdavid, Inc., HS Contrarian Investments, LLC, John Stetson, Frost Gamma Investments Trust, OPKO Health, Inc., GRQ Consultants, Inc., Robert Ladd, Phillip Frost, Southern Biotech, Inc., Stetson Capital Investments Inc., John H. Ford, Grander Holdings, Inc., Elliot Maza and Mark Groussman
Case Number:	1:2018cv08175
Filed:	September 7, 2018
Court:	US District Court for the Southern District of New York
Presiding Judge:	Edgardo Ramos
Nature of Suit:	Securities/Commodities
Cause of Action:	15 U.S.C. § 77
Jury Demanded By:	Plaintiff

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This docket was last retrieved on September 29, 2023. A more recent docket listing may be available from PACER.

Date Filed	Document Text
December 17, 2019	Filing 204 STIPULATION AND CONFIDENTIALITY ORDER...regarding procedures to be followed that shall govern the handling of confidential material...SO ORDERED. (Signed by Judge Edgardo Ramos on 12/17/19) (yv)
December 17, 2019	Filing 203 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
December 11, 2019	Filing 202 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 11/7/19 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
December 11, 2019	Filing 201 TRANSCRIPT of Proceedings re: CONFERENCE held on 11/7/2019 before Judge Edgardo Ramos. Court Reporter/Transcriber: Michael McDaniel, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 1/2/2020. Redacted Transcript Deadline set for 1/13/2020. Release of Transcript Restriction set for 3/10/2020.(McGuirk, Kelly)
December 5, 2019	Filing 200 NOTICE OF APPEARANCE by Daniel Robert Walfish on behalf of GRQ Consultants, Inc., Barry C. Honig. (Walfish, Daniel)
November 25, 2019	Filing 199 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 11/7/19 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
November 25, 2019	Filing 198 TRANSCRIPT of Proceedings re: CONFERENCE held on 11/7/2019 before Judge Edgardo Ramos. Court Reporter/Transcriber: Steven Griffing, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 12/16/2019. Redacted Transcript Deadline set for 12/26/2019. Release of Transcript Restriction set for 2/24/2020.(McGuirk, Kelly)
November 20, 2019	Filing 197 MEMO ENDORSEMENT on re: #196 Letter filed by John R. O'Rourke, III. ENDORSEMENT: The application is granted. SO ORDERED. Attorney Savannah Stevenson terminated. (Signed by Judge Edgardo Ramos on 11/20/2019) (kv)
November 20, 2019	Filing 196 LETTER addressed to Judge Edgardo Ramos from Gregory Morvillo dated 11/20/2019 re: request to terminate Savannah Stevenson as attorney of record for Defendant John ORourke. Document filed by John R. O'Rourke, III.(Morvillo, Gregory)
November 18, 2019	Filing 195 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and among counsel for Defendants Ladd and Brauser (collectively, "Defendants") and the Commission, that Notwithstanding paragraph 3 of the Stipulation and Confidentiality Order, entered June 5, 2019 (DE 134) (the "Confidentiality Order"), the Commission may designate the notes as "Confidential" and the Notes shall thereafter be deemed "Confidential Discovery Materials" for all purposes under the Confidentiality Order. Notwithstanding any other paragraph of the Confidentiality Order, should any party to this Stipulation wish to share a copy of the Notes with any other person or party, he or it must first obtain that person's or parties' agreement to abide by the terms of this Stipulation, in addition to the Confidentiality Order, in the form appended hereto as Exhibit A. By disclosing the Notes to Defendants, the Commission has not waived, does not intend to waive, and shall not be deemed to have waived, any of the privileges or protections it has asserted with respect to the Notes or any like material. So Ordered. (Signed by Judge Edgardo Ramos on 11/18/2019) (rro)
November 18, 2019	Filing 194 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
November 14, 2019	Filing 193 LETTER addressed to Judge Edgardo Ramos from Chris Johnstone dated November 14, 2019 re: Resolution of Letter Brief. Document filed by Robert Ladd.(Johnstone, Chris)
November 6, 2019	Filing 192 LETTER REPLY to Response to Motion addressed to Judge Edgardo Ramos from Dennis A. Richard dated November 6, 2019 re: #188 LETTER MOTION for Discovery addressed to Judge Edgardo Ramos from Dennis Richard dated October 23, 2019. . Document filed by Michael Brauser, Grander Holdings, Inc.. (Richard, Dennis)
November 4, 2019	Filing 191 LETTER REPLY to Response to Motion addressed to Judge Edgardo Ramos from Randall R. Lee dated November 4, 2019 re: #185 LETTER MOTION for Conference - Request for pre-motion conference addressed to Judge Edgardo Ramos from Randall R. Lee dated October 11, 2019. . Document filed by Robert Ladd. (Lee, Randall)
October 28, 2019	Filing 190 LETTER RESPONSE in Opposition to Motion addressed to Judge Edgardo Ramos from Nancy A. Brown dated 10.28.2019 re: #188 LETTER MOTION for Discovery addressed to Judge Edgardo Ramos from Dennis Richard dated October 23, 2019. . Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B)(Brown, Nancy)
October 24, 2019	Filing 189 ORDER granting #188 Letter Motion for Discovery. The matter will be heard at the November 7 pre-motion conference. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar)
October 23, 2019	Filing 188 LETTER MOTION for Discovery addressed to Judge Edgardo Ramos from Dennis Richard dated October 23, 2019. Document filed by Michael Brauser, Grander Holdings, Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H)(Richard, Dennis)
October 16, 2019	Filing 187 ORDER granting #185 Letter Motion for Conference. A pre-motion conference will be held on November 7, 2019, at 4:30 p.m. (Pre-Motion Conference set for 11/7/2019 at 04:30 PM before Judge Edgardo Ramos.) (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar)
October 16, 2019	Filing 186 LETTER RESPONSE in Opposition to Motion addressed to Judge Edgardo Ramos from Nancy A. Brown dated 10.16.2019 re: #185 LETTER MOTION for Conference - Request for pre-motion conference addressed to Judge Edgardo Ramos from Randall R. Lee dated October 11, 2019. . Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A)(Brown, Nancy)
October 11, 2019	Filing 185 LETTER MOTION for Conference - Request for pre-motion conference addressed to Judge Edgardo Ramos from Randall R. Lee dated October 11, 2019. Document filed by Robert Ladd. (Attachments: #1 Exhibit A - SEC Second Amended Privilege Log, #2 Exhibit B - 2019-08-30 Letter to SEC re SEC Production, #3 Exhibit C - 2019-08-21 Johnstone Ltr to Nancy Brown, #4 Exhibit D - 2019.09.06 Letter to Ladd re Production, #5 Exhibit E - SEC v. Goldstone ECF Dkt. 209, #6 Exhibit F - SEC v. Goldstone ECF Dkt. 276, #7 Exhibit G - 2019.08.08 Letter to Johnstone re Production, #8 Exhibit H - Ladd Second Set of Requests for Production to SEC, #9 Exhibit I - 2019.10.02 Letter to Ladd re Production, #10 Exhibit J - 2019.08.26 Letter to Johnstone re Production)(Lee, Randall)
September 30, 2019	Filing 184 ORDER denying without prejudice #178 Letter Motion for Discovery. Because the parties have not identified, in open court or ex parte, any specific discovery that the SEC intends to use in this case at this time, the Court DENIES Brauser's motion without prejudice. If and when any party becomes aware of a subpoena, deposition, interrogatory, or other manner of discovery related to this case and taken in a manner violating the Federal Rules, the party may file an appropriate motion for relief. See, e.g., S.E.C. v. Life Partners Holdings, Inc., No. 12 Civ. 33, 2012 WL 12850253 (W.D. Tex. Aug. 17, 2012) (ruling on relatedness of SEC investigation after depositions of non-party witnesses had been taken). The Court does order, however, that the parties file any additional communication regarding the substance of the SEC's investigation under seal in a form available to both parties until and unless the investigation becomes public or the Court orders otherwise. It is SO ORDERED. (Signed by Judge Edgardo Ramos on 9/30/2019) (kv)
September 23, 2019	Filing 183 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a ARGUMENT proceeding held on 9/11/19 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
September 23, 2019	Filing 182 TRANSCRIPT of Proceedings re: ARGUMENT held on 9/11/2019 before Judge Edgardo Ramos. Court Reporter/Transcriber: Pamela Utter, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 10/15/2019. Redacted Transcript Deadline set for 10/24/2019. Release of Transcript Restriction set for 12/23/2019.(McGuirk, Kelly)
September 20, 2019	Filing 181 SEALED DOCUMENT placed in vault.(rz)
September 19, 2019	Filing 180 LETTER addressed to Judge Edgardo Ramos from Randall R. Lee dated September 19, 2019 re: Response to the SEC's September 11, 2019 Letter and regarding SEC Investigations. Document filed by Robert Ladd.(Lee, Randall)
September 19, 2019	Filing 179 LETTER RESPONSE in Opposition to Motion addressed to Judge Edgardo Ramos from Jack Kaufman dated September 19, 2019 re: #178 LETTER MOTION for Discovery addressed to Judge Edgardo Ramos from Dennis Richard dated September 18, 2019. . Document filed by Securities and Exchange Commission. (Kaufman, Jack)
September 18, 2019	Filing 178 LETTER MOTION for Discovery addressed to Judge Edgardo Ramos from Dennis Richard dated September 18, 2019. Document filed by Michael Brauser, Grander Holdings, Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Richard, Dennis)
September 17, 2019	Filing 177 SEALED DOCUMENT placed in vault.(rz)
September 11, 2019	Filing 176 LETTER addressed to Judge Edgardo Ramos from Nancy A. Brown dated 09.11.2019 re: On-going Non-Public Investigation. Document filed by Securities and Exchange Commission.(Brown, Nancy)
September 11, 2019	Minute Entry for proceedings held before Judge Edgardo Ramos: Pre-Motion Conference held on 9/11/2019. Plaintiff's counsel present. Counsel for Defendants Robert Ladd, Michael Brauser, and Grander Holdings, Inc. present. Plaintiff shall submit by Wednesday, September 18, 2019, ex parte and sealed, additional briefing regarding the SEC's continuing investigations. (jar)
September 10, 2019	Filing 175 REPLY MEMORANDUM OF LAW in Support re: #144 MOTION to Dismiss Amended Complaint. . Document filed by Michael Brauser, Grander Holdings, Inc.. (Richard, Dennis)
September 9, 2019	Filing 174 ORDER granting #173 Motion for Conference. The application is granted. Counsel is directed to call the court at (212) 805-0169. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar)
September 6, 2019	Filing 173 LETTER MOTION for Conference re: #165 Letter, addressed to Judge Edgardo Ramos from Dennis Richard dated September 6, 2019. Document filed by Michael Brauser, Grander Holdings, Inc..(Richard, Dennis)
September 4, 2019	Filing 172 LETTER RESPONSE in Opposition to Motion addressed to Judge Edgardo Ramos from Chris Johnstone dated September 4, 2019 re: #158 LETTER MOTION for Conference addressed to Judge Edgardo Ramos from Nancy A. Brown dated 08/19/2019. . Document filed by Robert Ladd. (Attachments: #1 Exhibit 1 - Johnstone Letter to Nancy Brown, #2 Exhibit 2 - Letter to SEC re Ladd Production, #3 Exhibit 3 - Brown Email to Johnstone, #4 Exhibit 4 - Ladd Responses and Objections to SEC RFPs)(Johnstone, Chris)
September 4, 2019	Filing 171 LETTER addressed to Judge Edgardo Ramos from Nancy A. Brown dated 09.04.2019 re: Commission's Non-Public Investigation. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B)(Brown, Nancy)
September 3, 2019	Filing 170 REPLY MEMORANDUM OF LAW in Support re: #146 MOTION to Dismiss . . Document filed by Robert Ladd. (Lee, Randall)
September 3, 2019	Filing 169 ORDER granting #168 Letter Motion for Extension of Time to File Response/Reply re #144 MOTION to Dismiss Amended Complaint. Replies due by 9/10/2019. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar)
August 30, 2019	Filing 168 LETTER MOTION for Extension of Time to File Response/Reply as to #155 Memorandum of Law in Opposition to Motion addressed to Judge Edgardo Ramos from Dennis Richard dated August 30, 2019. Document filed by Michael Brauser, Grander Holdings, Inc.. (Attachments: #1 Exhibit)(Richard, Dennis)
August 28, 2019	Filing 167 ORDER granting #166 Letter Motion for Leave to File Excess Pages: The application is granted. (Signed by Judge Edgardo Ramos on 8/28/2019) (jwh)
August 27, 2019	Filing 166 LETTER MOTION for Leave to File Excess Pages addressed to Judge Edgardo Ramos from Dennis Richard dated August 27, 2019. Document filed by Michael Brauser, Grander Holdings, Inc..(Richard, Dennis)
August 26, 2019	Filing 165 LETTER addressed to Judge Edgardo Ramos from James D. Sallah, Esq. dated 8/26/2019 re: Plaintiff's Letter of 8/8/2019. Document filed by Michael Brauser, Grander Holdings, Inc.. (Attachments: #1 Exhibit Copy of In the Matter of Morgan Asset Management, Inc.)(Katz, Joshua)
August 24, 2019	Filing 164 LETTER MOTION for Oral Argument addressed to Judge Edgardo Ramos from Dennis Richard dated August 24, 2019. Document filed by Michael Brauser, Grander Holdings, Inc..(Richard, Dennis)
August 23, 2019	Filing 163 LETTER addressed to Judge Edgardo Ramos from Chris Johnstone dated August 23, 2019 re: Oral Argument Availability. Document filed by Robert Ladd.(Johnstone, Chris)
August 21, 2019	Filing 162 LETTER RESPONSE in Opposition to Motion addressed to Judge Edgardo Ramos from Nancy A. Brown dated August 21, 2019 re: #161 LETTER MOTION for Oral Argument on Defendants' Motions to Dismiss addressed to Judge Edgardo Ramos from Chris Johnstone dated August 21, 2019. . Document filed by Securities and Exchange Commission. (Kaufman, Jack)
August 21, 2019	Filing 161 LETTER MOTION for Oral Argument on Defendants' Motions to Dismiss addressed to Judge Edgardo Ramos from Chris Johnstone dated August 21, 2019. Document filed by Robert Ladd.(Johnstone, Chris)
August 20, 2019	Filing 160 LETTER addressed to Judge Edgardo Ramos from Randall R. Lee dated August 20, 2019 re: Response to Plaintiff SEC's August 8, 2019 Letter. Document filed by Robert Ladd.(Lee, Randall)
August 20, 2019	Filing 159 ORDER granting #158 Letter Motion for Conference. A pre-motion conference will be held on September 11, 2019, at 10:00 a.m. Defendant Robert Ladd is directed to respond by September 4, 2019. (Pre-Motion Conference set for 9/11/2019 at 10:00 AM before Judge Edgardo Ramos.) (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar)
August 19, 2019	Filing 158 LETTER MOTION for Conference addressed to Judge Edgardo Ramos from Nancy A. Brown dated 08/19/2019. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B)(Brown, Nancy)
August 8, 2019	Filing 157 LETTER addressed to Judge Edgardo Ramos from Nancy A. Brown dated 08.08.2019 re: Continuing Investigations. Document filed by Securities and Exchange Commission.(Brown, Nancy)
August 2, 2019	Filing 156 MEMORANDUM OF LAW in Opposition re: #146 MOTION to Dismiss . . Document filed by Securities and Exchange Commission. (Kaufman, Jack)
August 2, 2019	Filing 155 MEMORANDUM OF LAW in Opposition re: #144 MOTION to Dismiss Amended Complaint. . Document filed by Securities and Exchange Commission. (Brown, Nancy)
July 29, 2019	Filing 154 ORDER granting #153 Letter Motion for Leave to File Excess Pages. The application is granted. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar)
July 26, 2019	Filing 153 LETTER MOTION for Leave to File Excess Pages addressed to Judge Edgardo Ramos from Nancy A. Brown dated 07.26.2019. Document filed by Securities and Exchange Commission.(Brown, Nancy)
July 10, 2019	Filing 152 JUDGMENT AS TO DEFENDANT BARRY C. HONG: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange act of 1934 (the "Exchange Act") [15U.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 any facility of any national securities, in connection with the purchase or sale of any security: as further set forth herein. 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 Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rule of Civil Procedure, the Clerk is ordered to enter this Judgment forthwith and without further notice.. (Signed by Judge Edgardo Ramos on 7/10/2019) (kv)
July 10, 2019	Filing 151 JUDGMENT AS TO DEFENDANT GRQ CONSULTANTS, INC.: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange act of 1934 (the "Exchange Act") [15U.S.C 78j(b)] and Rule 10b-5 promulgated thereunder [17C.F.R. 240.10b-d], by using any means or instrumentality of interstate commerce, or of the mails, or any facility of any national securities, in connection with the purchase or sale of any security: as further set forth herein. 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 Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rule of Civil Procedure, the Clerk is ordered to enter this Judgment forthwith and without further notice. (Signed by Judge Edgardo Ramos on 7/10/2019) (kv)
July 8, 2019	Filing 150 NOTICE OF APPEARANCE by Jack Kaufman on behalf of Securities and Exchange Commission. (Kaufman, Jack)
June 19, 2019	Filing 149 NOTICE of Request for Judicial Notice in Support of re: #146 MOTION to Dismiss .. Document filed by Robert Ladd. (Lee, Randall)
June 19, 2019	Filing 148 DECLARATION of Randall R. Lee in Support re: #146 MOTION to Dismiss .. Document filed by Robert Ladd. (Attachments: #1 Exhibit A - MGT Form 10-K, #2 Exhibit B - MGT Schedule 14A, #3 Exhibit C - MGT Form 8-K, #4 Exhibit D - MGT Form 8-K, #5 Exhibit E - MGT Form 8-K, #6 Exhibit F - MGT Form 10-K, #7 Exhibit G - MGT Form 8-K, #8 Exhibit H - MGT Form S-1, #9 Exhibit I - Brand New NYSE Alert - Small Cap Leader, #10 Exhibit J - MGT Form 8-K, #11 Exhibit K - Stock Beast Article, #12 Exhibit L - Intel Form 8-K, #13 Exhibit M - Intel Form 8-K, #14 Exhibit N - McAfee Form 8-K, #15 Exhibit O - McAfee Form S-4, #16 Exhibit P - MGTI Stock Prices, #17 Exhibit Q - MGT Form 8-K, #18 Exhibit R - MGT Form 4, #19 Exhibit S - MGT Form 4, #20 Exhibit T - MGT Form 4, #21 Exhibit U - MGT Form 10-K/A, #22 Exhibit V - Wall Street Journal, #23 Exhibit W - Four Hours with John McAfee, #24 Exhibit X - McAfee Wikipedia, #25 Exhibit Y - Business Insider, #26 Exhibit Z - JDJournal)(Lee, Randall)
June 19, 2019	Filing 147 MEMORANDUM OF LAW in Support re: #146 MOTION to Dismiss . . Document filed by Robert Ladd. (Lee, Randall)
June 19, 2019	Filing 146 MOTION to Dismiss . Document filed by Robert Ladd.(Lee, Randall)
June 19, 2019	Filing 145 MEMORANDUM OF LAW in Support re: #144 MOTION to Dismiss Amended Complaint. . Document filed by Michael Brauser, Grander Holdings, Inc.. (Richard, Dennis)
June 19, 2019	Filing 144 MOTION to Dismiss Amended Complaint. Document filed by Michael Brauser, Grander Holdings, Inc..(Richard, Dennis)
June 17, 2019	Filing 143 MEMO ENDORSEMENT on #140 LETTER terminating #139 Letter Motion to Compel. ENDORSEMENT: The Clerk of the Court is directed to terminate the motion, doc. 139. (Signed by Judge Edgardo Ramos on 6/17/2019) (mro)
June 17, 2019	Filing 142 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
June 17, 2019	Filing 141 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
June 17, 2019	***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #141 Proposed Judgment #142 Proposed Judgment was reviewed and approved as to form. (km)
June 14, 2019	Filing 140 LETTER addressed to Judge Edgardo Ramos from Randall Lee dated June 14, 2019 re: Requesting that the Court Disregard Letter Motion, Docket No. 139. Document filed by Robert Ladd.(Lee, Randall)
June 14, 2019	Filing 139 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION to Compel SEC to Produce its Investigative File addressed to Judge Edgardo Ramos from Randall Lee dated June 14, 2019. Document filed by Robert Ladd. (Attachments: #1 Exhibit A - SECs responses to Mr. Ladds requests for production, #2 Exhibit B - Correspondence)(Lee, Randall) Modified on 8/20/2019 (db).
June 12, 2019	Filing 138 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and among counsel for Defendant Robert Ladd and Plaintiff Securities and Exchange Commission ("Commission""), that any and all discovery obtained by Defendant Ladd pursuant to his Rule 34 document Request to the Commission (the "Discovery Material") shall be retained by him in confidence and shall not be disclosed to or shared with (i) any other Defendant in this matter who (x) declines to produce documents in response to the Commission's Rule 34 document Request to him by reason of his assertion of an act of production privilege or any other assertion of his Fifth Amendment privileges, or by reason of his obtaining an extension from the Commission on his time to respond; or (y) has not executed the Confidentiality Stipulation and Order entered by the Court; and (ii) any entity controlled by any such Defendant. nothing herein shall preclude Ladd from disclosing such Discovery Material as part of a public filing made by Ladd in this matter. SO ORDERED. (Signed by Judge Edgardo Ramos on 6/12/2019) (kv)
June 7, 2019	Filing 137 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/15/19 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 7, 2019	Filing 136 TRANSCRIPT of Proceedings re: CONFERENCE held on 5/15/2019 before Judge Edgardo Ramos. Court Reporter/Transcriber: Michael McDaniel, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/28/2019. Redacted Transcript Deadline set for 7/8/2019. Release of Transcript Restriction set for 9/5/2019.(McGuirk, Kelly)
June 5, 2019	Filing 135 STIPULATION AND ORDER:...regarding procedures to be followed that shall govern the handling of confidential material...So Ordered. (Signed by Judge Edgardo Ramos on 6/5/2019) (js)
June 5, 2019	Filing 134 STIPULATION AND CONFIDENTIALITY ORDER...regarding procedures to be followed that shall govern the handling of confidential material... So Ordered. (Signed by Judge Edgardo Ramos on 6/5/2019) (js)
June 4, 2019	Filing 133 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
June 4, 2019	Filing 132 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
June 4, 2019	Filing 131 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
May 31, 2019	Filing 130 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/15/19 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
May 31, 2019	Filing 129 TRANSCRIPT of Proceedings re: CONFERENCE held on 5/15/2019 before Judge Edgardo Ramos. Court Reporter/Transcriber: Michael McDaniel, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/21/2019. Redacted Transcript Deadline set for 7/1/2019. Release of Transcript Restriction set for 8/29/2019.(McGuirk, Kelly)
May 21, 2019	Filing 128 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/15/19 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
May 21, 2019	Filing 127 TRANSCRIPT of Proceedings re: CONFERENCE held on 5/15/2019 before Judge Edgardo Ramos. Court Reporter/Transcriber: Michael McDaniel, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/11/2019. Redacted Transcript Deadline set for 6/21/2019. Release of Transcript Restriction set for 8/19/2019.(McGuirk, Kelly)
May 20, 2019	Filing 126 CIVIL CASE DISCOVERY PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial, pursuant to 28 U.S.C. 636(c). This case is to be tried to a jury. Non-expert Depositions shall be completed by February 25, 2020. If Answers are filed by April 30, 2020, the Court will hold a status conference on May 1, 2020, or another time convenient for the Court. Motions due by 6/19/2019. Responses due by 8/2/2019 Replies due by 9/3/2019. Expert Deposition due by 4/30/2020. Fact Discovery due by 2/25/2020. All Discovery due by 4/30/2020. Case Management Conference set for 5/1/2020 at 11:30 AM before Judge Edgardo Ramos. (Signed by Judge Edgardo Ramos on 5/20/2019) (kv)
May 15, 2019	Filing 125 PROPOSED CASE MANAGEMENT PLAN. Document filed by Securities and Exchange Commission. (Brown, Nancy)
May 15, 2019	Filing 124 LETTER addressed to Judge Edgardo Ramos from Nancy A. Brown dated 05.15.19 re: Proposed Case Management Plan and Scheduling Order. Document filed by Securities and Exchange Commission.(Brown, Nancy)
May 13, 2019	Filing 123 LETTER addressed to Judge Edgardo Ramos from Adam Fee dated May 13, 2019 re: Proposed Discovery Schedule. Document filed by HS Contrarian Investments, LLC, John Stetson, Stetson Capital Investments Inc..(Fee, Adam)
May 8, 2019	Filing 122 MEMO ENDORSEMENT on re: #118 Rule 26(f) Discovery Plan Report filed by Robert Ladd. ENDORSEMENT: An initial conference is scheduled for May 15, 2019, at 10:30 a.m. SO ORDERED. (Initial Conference set for 5/15/2019 at 10:30 AM before Judge Edgardo Ramos.) (Signed by Judge Edgardo Ramos on 5/8/2019) (kv)
May 7, 2019	Filing 121 LETTER addressed to Judge Edgardo Ramos from Nancy A. Brown dated 05.07.2019 re: Proposed Discovery Schedule. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B)(Brown, Nancy)
May 7, 2019	Filing 120 LETTER addressed to Judge Edgardo Ramos from Dennis Richard dated May 7, 2019 re: Rule 26(f) Discovery Plan. Document filed by Michael Brauser, Grander Holdings, Inc..(Richard, Dennis)
May 7, 2019	Filing 119 LETTER addressed to Judge Edgardo Ramos from Randall R. Lee dated May 7, 2019 re: Rule 26(f) Discovery Plan. Document filed by Robert Ladd. (Attachments: #1 Exhibit 1 - Proposed Discovery Plan, #2 Exhibit 2 - April 16, 2019 Randall Lee Letter, #3 Exhibit 3 - April 24, 2019 Email, #4 Exhibit 4 - SEC's discovery proposal)(Lee, Randall)
May 7, 2019	Filing 118 RULE 26(f) DISCOVERY PLAN REPORT.Document filed by Robert Ladd.(Lee, Randall)
April 29, 2019	Filing 117 ORDER granting #114 Letter Motion for Extension of Time. After consideration of the parties' letters, the Commission's request for a six-week adjournment of the briefing schedule related to defendants' anticipated motions to dismiss is GRANTED. Motions to dismiss are now due on June 19, 2019. It is SO ORDERED. Motions due by 6/19/2019. (Signed by Judge Edgardo Ramos on 4/29/2019) (kv)
April 28, 2019	Filing 116 LETTER RESPONSE to Motion addressed to Judge Edgardo Ramos from Dennis A. Richard dated April 28, 2019 re: #114 LETTER MOTION for Extension of Time addressed to Judge Edgardo Ramos from Nancy A. Brown dated 04.26.2019. . Document filed by Michael Brauser, Grander Holdings, Inc.. (Richard, Dennis)
April 28, 2019	Filing 115 LETTER RESPONSE to Motion addressed to Judge Edgardo Ramos from Randall R. Lee dated April 28, 2019 re: #114 LETTER MOTION for Extension of Time addressed to Judge Edgardo Ramos from Nancy A. Brown dated 04.26.2019. . Document filed by Robert Ladd. (Lee, Randall)
April 26, 2019	Filing 114 LETTER MOTION for Extension of Time addressed to Judge Edgardo Ramos from Nancy A. Brown dated 04.26.2019. Document filed by Securities and Exchange Commission.(Brown, Nancy)
March 29, 2019	Filing 113 JUDGMENT AS TO DEFENDANT BRIAN KELLER: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (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: to employ any device, scheme, or artifice to defraud; as further set forth in this Order. 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 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 Judgment forthwith and without further notice. (Signed by Judge Edgardo Ramos on 3/29/2019) (cf)
March 29, 2019	***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #111 Proposed Judgment was reviewed and approved as to form. (km)
March 28, 2019	Filing 112 LETTER addressed to Judge Edgardo Ramos from Nancy A. Brown dated 03.28.2019 re: Judgment as Defendant Keller. Document filed by Securities and Exchange Commission.(Brown, Nancy)
March 28, 2019	Filing 111 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
March 27, 2019	Filing 110 JUDGMENT AS TO DEFENDANT ELLIOT MAZA, IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934(the "Exchange act")[15 U.S.C. 78j(b)] and Rule 10b-5 promulgated thereunder [17C.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 in this Judgment. 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 Judgement. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk of Court is ordered to enter this Judgment forthwith and without further notice. SO ORDERED. (Signed by Judge Edgardo Ramos on 3/27/2019) (kv) Modified on 3/28/2019 (kv).
March 26, 2019	Filing 109 LETTER addressed to Judge Edgardo Ramos from Nancy A. Brown dated 03.26.2019 re: Judgment Against Defendant Maza. Document filed by Securities and Exchange Commission.(Brown, Nancy)
March 26, 2019	Filing 108 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
March 26, 2019	***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #108 Proposed Judgment was reviewed and approved as to form. (dt)
March 11, 2019	Filing 107 MEMO ENDORSEMENT on re: #106 Letter filed by Securities and Exchange Commission. ENDORSEMENT: The Clerk of Court is respectfully directed to undo termination of Defendant John H. Ford from the docket. Defendant Ford was terminated following the consent judgment "So Ordered" on September 21, 2018. Pursuant to section five of that judgment, see Doc. 28 at 4, the Commission reserved the right to move both for disgorgement of ill-gotten gains and for civil penalties against Defendant Ford. Consequently, Defendant Ford's termination from the docket was error. SO ORDERED. (Signed by Judge Edgardo Ramos on 3/11/2019) (kv)
March 11, 2019	Filing 106 LETTER addressed to Judge Edgardo Ramos from Katherine S. Bromberg dated March 11, 2019 re: Amended Complaint. Document filed by Securities and Exchange Commission.(Bromberg, Katherine)
March 8, 2019	Filing 105 FIRST AMENDED COMPLAINT amending #1 Complaint, against ATG Capital LLC, Michael Brauser, John H. Ford, GRQ Consultants, Inc., Grander Holdings, Inc., HS Contrarian Investments, LLC, Barry C. Honig, Brian Keller, Robert Ladd, Elliot Maza, John R. O'Rourke, III, John Stetson, Stetson Capital Investments Inc. with JURY DEMAND.Document filed by Securities and Exchange Commission. Related document: #1 Complaint,.(Wadhwa, Sanjay)
March 8, 2019	Filing 104 NOTICE OF APPEARANCE by Nicole Renee Lloret on behalf of John R. O'Rourke, III. (Lloret, Nicole)
February 22, 2019	Filing 103 NOTICE OF CHANGE OF ADDRESS by Amina Jawad Akram on behalf of HS Contrarian Investments, LLC, John Stetson, Stetson Capital Investments Inc.. New Address: Milbank LLP, 55 Hudson Yards, New York, New York, United States 10001, 212-530-5000. (Akram, Amina)
February 22, 2019	Filing 102 NOTICE OF CHANGE OF ADDRESS by Adam Fee on behalf of HS Contrarian Investments, LLC, John Stetson, Stetson Capital Investments Inc.. New Address: Milbank LLP, 55 Hudson Yards, New York, New York, United States 10001, 212-530-5000. (Fee, Adam)
February 22, 2019	Filing 101 NOTICE OF CHANGE OF ADDRESS by George S. Canellos on behalf of HS Contrarian Investments, LLC, John Stetson, Stetson Capital Investments Inc.. New Address: Milbank LLP, 55 Hudson Yards, New York, New York, 10001, 212-530-5000. (Canellos, George)
February 22, 2019	Filing 100 NOTICE of Change of Firm Name. Document filed by HS Contrarian Investments, LLC, John Stetson, Stetson Capital Investments Inc.. (Canellos, George)
February 12, 2019	Filing 99 ORDER granting #98 LETTER MOTION for Extension of Time re: corrected briefing schedule. The application is granted. (Motions due by 5/8/2019.) (Signed by Judge Edgardo Ramos on 2/12/2019) (jca)
February 12, 2019	Set/Reset Deadlines: Responses due by 6/21/2019, Replies due by 7/22/2019. (jca)
February 11, 2019	Filing 98 LETTER MOTION for Extension of Time re: corrected briefing schedule addressed to Judge Edgardo Ramos from Adam Fee dated Feb. 11, 2019. Document filed by HS Contrarian Investments, LLC, John Stetson, Stetson Capital Investments Inc..(Fee, Adam)
February 8, 2019	Filing 97 STIPULATION AND ORDER, NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between Plaintiff, Securities and Exchange Commission ("Commission"), and Defendants, either individually or through their respective attorneys, that: 1. Defendants consent to the adjournment of the date by which the Commission will file an Amended Complaint. 2. The Commission shall file its Amended Complaint on or before March 8, 2019. 3. The Commission and any Defendant who wishes to file a Motion to dismiss the Amended Complaint shall be governed by the following briefing schedule: (a) Any Defendant moving to dismiss the Amended Complaint shall serve and file its Motion and supporting papers by April 5, 2019; (b) The Commission shall serve and file its Opposition papers by May 10, 2019;and (c) Moving Defendants shall serve and file their respective Reply papers by June 7, 2019. SO ORDERED. Motions terminated: #95 LETTER MOTION for Extension of Time addressed to Judge Edgardo Ramos from Adam Fee dated Feb. 8, 2019. filed by Stetson Capital Investments Inc., HS Contrarian Investments, LLC, John Stetson., ( Amended Pleadings due by 3/8/2019., Motions due by 4/5/2019., Responses due by 5/10/2019, Replies due by 6/7/2019.) (Signed by Judge Edgardo Ramos on 2/8/2019) (kv)
February 8, 2019	Filing 96 NOTICE OF CHANGE OF ADDRESS by Randall R Lee on behalf of Robert Ladd. New Address: COOLEY LLP, 1333 2nd Street, Suite 400, Santa Monica, CA, USA 90401, 310-883-6400. (Lee, Randall)
February 8, 2019	Filing 95 LETTER MOTION for Extension of Time addressed to Judge Edgardo Ramos from Adam Fee dated Feb. 8, 2019. Document filed by HS Contrarian Investments, LLC, John Stetson, Stetson Capital Investments Inc.. (Attachments: #1 Text of Proposed Order)(Fee, Adam)
February 6, 2019	Filing 94 FINAL JUDGMENT AS TO DEFENDANT MELECHDAVID, INC.: IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is barred, for five years following the date of entry of this Final Judgment, from participating in an offering of penny stock, including engaging in activities with a broker, dealer, or issuer for purposes of issuing, trading, or inducing or attempting to induce the purchase or sale of any penny stock (which is any equity security that has a price of less than five dollars, except as provided in Rule 3a51-1 under the Exchange Act [17 C.F.R. 240.3a51-1)]; provided, however, that such bar shall not prohibit Defendant from holding or selling the securities of, or providing additional funding to, any issuer whose securities are owned by Defendant as of the date of this Final Judgment; provided further, however, that, any sale of securities hereafter shall be limited to the number of shares of such issuer held by Defendant as of the date of this Final Judgment, and, furthermore, for any additional funding provided by Defendant hereafter to any such issuer, Defendant shall receive debt securities with no current or future equity conversion feature. 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, as further set forth in this 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. (Signed by Judge Edgardo Ramos on 2/6/2019) (kv) Modified on 2/7/2019 (kv).
February 6, 2019	Filing 93 FINAL JUDGMENT AS TO DEFENDANT MARK GROUSSMAN: IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $1,051,360, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $170,554.78, and a civil penalty in the amount of $160,000 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 $1,381,914.78 to the Securities and Exchange Commission within 14 days after entry of this Final Judgment. 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, as further set forth in the 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. (Signed by Judge Edgardo Ramos on 2/6/2019) (kv) Modified on 2/7/2019 (kv).
February 6, 2019	Filing 92 FINAL JUDGMENT AS TO ALPHA CAPITA ANSTALT: IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $708,470.07, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $149,788.44, and a civil penalty in the amount of $50,000 pursuant to Section 20(d)(2) of the Securities Act [15 U.S.C. 77t(d)(2)]. Defendant shall satisfy this obligation by paying $908,258.51 to the Securities and Exchange Commission within 14 days after entry of this Final Judgment. 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, as further set forth in this 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. (Signed by Judge Edgardo Ramos on 2/6/2019) (kv) Modified on 2/7/2019 (kv).
February 1, 2019	Filing 91 LETTER addressed to Judge Edgardo Ramos from Nancy A. Brown dated 02.01.2019 re: Proposed Judgments on Consent as to Defendants Alpha, Groussman and Melechdavid. Document filed by Securities and Exchange Commission.(Brown, Nancy)
February 1, 2019	Filing 90 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
February 1, 2019	Filing 89 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
February 1, 2019	Filing 88 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
February 1, 2019	***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #90 Proposed Judgment was reviewed and approved as to form. (dt)
February 1, 2019	***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #88 Proposed Judgment was reviewed and approved as to form. (dt)
February 1, 2019	***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #89 Proposed Judgment was reviewed and approved as to form. (dt)
January 31, 2019	Filing 87 NOTICE OF APPEARANCE by Joshua A. Katz on behalf of Michael Brauser, Grander Holdings, Inc.. (Katz, Joshua)
January 31, 2019	Filing 86 NOTICE OF APPEARANCE by James D. Sallah on behalf of Michael Brauser, Grander Holdings, Inc.. (Sallah, James)
January 24, 2019	Filing 85 ORDER granting #82 Motion for James Damien Sallah to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar) Transmission to Attorney Services/Help Desk.
January 24, 2019	Filing 84 ORDER granting #81 Motion for Joshua Arnold Katz to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar) Transmission to Attorney Services/Help Desk.
January 24, 2019	Filing 83 ORDER granting #60 Motion for Dennis Alan Richard to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar) Transmission to Attorney Services/Help Desk.
January 22, 2019	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #82 MOTION for James Damien Sallah to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16218455. Motion and supporting papers to be reviewed by Clerk's Office staff., #81 MOTION for Joshua Arnold Katz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16218453. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
January 21, 2019	Filing 82 MOTION for James Damien Sallah to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16218455. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael Brauser, Grander Holdings, Inc.. (Attachments: #1 Affidavit, #2 Exhibit, #3 Exhibit, #4 Text of Proposed Order)(Astarita, Mark)
January 21, 2019	Filing 81 MOTION for Joshua Arnold Katz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16218453. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael Brauser, Grander Holdings, Inc.. (Attachments: #1 Affidavit, #2 Exhibit, #3 Text of Proposed Order)(Astarita, Mark)
January 21, 2019	Filing 80 NOTICE OF APPEARANCE by Mark J. Astarita on behalf of Michael Brauser, Grander Holdings, Inc.. (Astarita, Mark)
January 21, 2019	Filing 79 NOTICE OF APPEARANCE by Michael David Handelsman on behalf of Michael Brauser, Grander Holdings, Inc.. (Handelsman, Michael)
January 10, 2019	Filing 78 FINAL JUDGMENT AS TO OPKO HEALTH, INC.: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 13(d) of the Securities Exchange Act of 1934 (the Exchange Act) [15 U.S.C. 78m(d)] and Rule 13d-1(a) promulgated thereunder [17 C.F.R. 240.13d-1(a)] by failing to file with the Commission a statement containing the information required by Schedule 13D (as provided in 17 C.F.R. 240.13d-101), within 10 days after acquiring directly or indirectly the beneficial ownership of more than five percent of any equity security of a class which is specified in Exchange Act Rule 13d-1(I) [17 C.F.R. 240.13d-1(i)]. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $100,000 to the Securities and Exchange Commission pursuant to Section 21(d)(3) of the Exchange Act [15 U.S.C. 78u(d)(3)]. Defendant shall make this payment within 14 days after entry of this Final Judgment. 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. (As further set forth in this order) OPKO Health, Inc. terminated. (Signed by Judge Edgardo Ramos on 1/10/2019) (ne)
January 10, 2019	Filing 77 FINAL JUDGMENT AS TO PHILLIP FROST: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 17(a)(2) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. 77q(a)(2)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly to obtain money or property by means of any untrue statement of a material fact or any omission of a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $433,181.06, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $90,206.46, and a civil penalty in the amount of $5,000,000 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 $5,523,387.52 to the Securities and Exchange Commission within 14 days after entry of this Final Judgment. 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. (As further set forth in this Judgment) Phillip Frost terminated. (Signed by Judge Edgardo Ramos on 1/10/2019) (ne)
January 10, 2019	Filing 76 FINAL JUDGMENT AS TO FROST GAMMA INVESTMENTS TRUST: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 17(a)(2) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. 77q(a)(2)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly to obtain money or property by means of any untrue statement of a material fact or any omission of a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorporated herein with the same force and effect as if fully set forth herein, and that Defendant shall comply with all of the undertakings and agreements set forth therein. 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. Frost Gamma Investments Trust terminated. (Signed by Judge Edgardo Ramos on 1/10/2019) (ne)
January 10, 2019	***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #72 Proposed Judgment #70 Proposed Judgment #71 Proposed Judgment was reviewed and approved as to form. (km)
January 7, 2019	Filing 75 ORDER granting #74 Motion for Melissa L. Mackiewicz to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar) Transmission to Attorney Services/Help Desk.
December 28, 2018	Filing 74 MOTION for Melissa L. Mackiewicz to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael Brauser, Grander Holdings, Inc.. (Attachments: #1 Affidavit Declaration in Support of Motion, #2 Exhibit 2018.12.13 FL Certificate of Good Standing, #3 Exhibit 2018.12.03 MD Certificate of Good Standing, #4 Exhibit 2018.11.28 DC Certificate of Good Standing, #5 Text of Proposed Order Proposed Order)(Mackiewicz, Melissa)
December 28, 2018	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #74 MOTION for Melissa L. Mackiewicz to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
December 27, 2018	Filing 73 LETTER addressed to Judge Edgardo Ramos from Nancy A. Brown dated 12.27.2018 re: Proposed Judgments on Consent against Defendants Frost, FGIT and OPKO. Document filed by Securities and Exchange Commission.(Brown, Nancy)
December 27, 2018	Filing 72 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
December 27, 2018	Filing 71 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
December 27, 2018	Filing 70 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
December 21, 2018	Filing 69 MEMO ENDORSED denying as moot #67 Letter Motion for Conference. ENDORSEMENT: Plaintiff's request for an extension of the deadline to file an Amended Complaint is GRANTED. Plaintiff has until February 8, 2019, to file an Amended Complaint. Any Defendant who wishes to file a Motion to Dismiss the Amended Complaint shall serve and file its Motion and supporting papers by March 29, 2019, unless otherwise ordered by the Court. Plaintiff's request for a pre-motion conference is DENIED as moot. It is SO ORDERED. (Signed by Judge Edgardo Ramos on 12/21/2018) (kv).
December 21, 2018	Filing 68 LETTER RESPONSE to Motion addressed to Judge Edgardo Ramos from Randall R. Lee dated December 21, 2018 re: #67 LETTER MOTION for Conference addressed to Judge Edgardo Ramos from Nancy A. Brown dated 12.20.2018. . Document filed by Robert Ladd. (Lee, Randall)
December 21, 2018	Set/Reset Deadlines: Amended Pleadings due by 2/8/2019. Motions due by 3/29/2019. (kv)
December 20, 2018	Filing 67 LETTER MOTION for Conference addressed to Judge Edgardo Ramos from Nancy A. Brown dated 12.20.2018. Document filed by Securities and Exchange Commission.(Brown, Nancy)
December 11, 2018	Filing 66 ORDER denying as moot #64 Letter Motion for Extension of Time to File. See Stipulation and Order, doc. 65. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar)
December 7, 2018	Filing 65 STIPULATION AND ORDER: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between Plaintiff, Securities and Exchange Commission ("Commission"), and Defendants, either individually or through their respective attorneys, that: 1. Defendants consent to the Commission's filing of an Amended Complaint 2. The Commission shall file its Amended Complaint on or before January 4, 2019. 3. The Commission and any Defendant who wishes to file a Motion to dismiss the Amended Complaint shall be governed by the following briefing schedule: (a) Any Defendant moving to dismiss the Amended Complaint shall serve and file its Motion and supporting papers by February 28, 2019; (b) The Commission shall serve and file its Opposition papers by March 28, 2019; and (c) Moving Defendants shall serve and file their respective Reply papers by April 22, 2019. (Amended Pleadings due by 1/4/2019. Motions due by 2/28/2019. Responses due by 3/28/2019. Replies due by 4/22/2019.) (Signed by Judge Edgardo Ramos on 12/7/2018) (jwh)
December 6, 2018	Filing 64 LETTER MOTION for Extension of Time to File Pre-Motion Letters, if Required addressed to Judge Edgardo Ramos from Nancy A. Brown dated 12.06.2018. Document filed by Securities and Exchange Commission.(Brown, Nancy)
December 6, 2018	Filing 63 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
December 6, 2018	Filing 62 NOTICE OF APPEARANCE by Rebecca Kahan Waldman on behalf of Alpha Capital Anstalt. (Waldman, Rebecca)
December 6, 2018	Filing 61 NOTICE OF APPEARANCE by Andrew J. Levander on behalf of Alpha Capital Anstalt. (Levander, Andrew)
November 29, 2018	Filing 60 MOTION for Dennis Alan Richard to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15976953. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael Brauser, Grander Holdings, Inc.. (Attachments: #1 Declaration, #2 Florida Certificate of Good Standing, #3 Text of Proposed Order)(Richard, Dennis)
November 29, 2018	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #60 MOTION for Dennis Alan Richard to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15976953. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
November 28, 2018	Filing 59 NOTICE OF APPEARANCE by Jack Michael Genberg on behalf of Elliot Maza. (Genberg, Jack)
November 26, 2018	Filing 58 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Melissa L. Mackiewicz to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael Brauser, Grander Holdings, Inc.. (Attachments: #1 Affidavit Declaration, #2 Exhibit FL Bar Certificate of Good Standing, #3 Exhibit Certificates of Good Standing, #4 Text of Proposed Order)(Mackiewicz, Melissa) Modified on 11/26/2018 (ma).
November 26, 2018	Filing 57 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Melissa L. Mackiewicz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15955584. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael Brauser, Grander Holdings, Inc.. (Attachments: #1 Affidavit, #2 Exhibit Certificates of Good Standing, #3 Text of Proposed Order)(Mackiewicz, Melissa) Modified on 11/26/2018 (wb).
November 26, 2018	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #57 MOTION for Melissa L. Mackiewicz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15955584. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of Florida;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (wb)
November 26, 2018	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #58 MOTION for Melissa L. Mackiewicz to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): THE CERTIFICATE OF GOOD STANDING FROM MARYLAND IS EXPIRED AND THE CERTIFICATE OF GOOD STANDING MUST BE ISSUED BY THE SUPREME COURT OF FLORIDA. PLEASE CALL THE ECF HELPDESK AT 212.805.0800 PRIOR TO REFILING. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (ma)
November 16, 2018	Filing 56 WAIVER OF SERVICE RETURNED EXECUTED. OPKO Health, Inc. waiver sent on 11/5/2018, answer due 1/4/2019. Document filed by Securities and Exchange Commission. (Brown, Nancy)
November 8, 2018	Filing 55 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between Plaintiff Securities and Exchange Commission and Defendants John Stetson, HS Contrarian Investments, LLC, Stetson Capital Investments Inc., Michael Brauser, Grander Holdings, Inc., Mark Groussman, Melechdavid, Inc., John R. O'Rourke ID, ATG Capital LLC, Phillip Frost, Frost Gamma Investments Trust, Barry C. Honig, GRQ Consultants, Inc., Robert Ladd, Elliot Maza, and Brian Keller, (collectively, "Defendants"), through their attorneys, or pro& that: Defendants' time to move, answer, or otherwise respond to the Complaint shall be extended to December 17, 2018. (ATG Capital LLC answer due 12/17/2018; Michael Brauser answer due 12/17/2018; Phillip Frost answer due 12/17/2018; Frost Gamma Investments Trust answer due 12/17/2018; GRQ Consultants, Inc. answer due 12/17/2018; Grander Holdings, Inc. answer due 12/17/2018; Mark Groussman answer due 12/17/2018; HS Contrarian Investments, LLC answer due 12/17/2018; Barry C. Honig answer due 12/17/2018; Brian Keller answer due 12/17/2018; Robert Ladd answer due 12/17/2018; Elliot Maza answer due 12/17/2018; Melechdavid, Inc. answer due 12/17/2018; John R. O'Rourke, III answer due 12/17/2018; John Stetson answer due 12/17/2018; Stetson Capital Investments Inc. answer due 12/17/2018.) (Signed by Judge Edgardo Ramos on 11/8/2018) (jwh)
November 6, 2018	Filing 54 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
November 2, 2018	Filing 53 MEMO ENDORSEMENT on re: #52 Letter filed by Elliot Maza. ENDORSEMENT: The application is granted. (Attorney Philip Nathan Pilmar terminated.) (Signed by Judge Edgardo Ramos on 11/2/2018) (jwh)
November 1, 2018	Filing 52 LETTER addressed to Judge Edgardo Ramos from Philip Pilmar dated 11/1/18 re: Withdrawing Notice of Appearance. Document filed by Elliot Maza.(Pilmar, Philip)
October 23, 2018	Filing 51 NOTICE OF APPEARANCE by Savannah Stevenson on behalf of John R. O'Rourke, III. (Stevenson, Savannah)
October 23, 2018	Filing 50 NOTICE OF APPEARANCE by Gregory Robert Morvillo on behalf of John R. O'Rourke, III. (Morvillo, Gregory)
October 17, 2018	Filing 49 STIPULATION AND ORDER, IT IS HEREBY STIPULATED AND AGREED, by and between Plaintiff, Securities and Exchange Commission, and Defendant, Alpha Capital Anstalt, through their respective attorneys, that: Defendant Alpha Capital Anstalt ("Alpha") acknowledges receipt and proper service of the Summons and Complaint in this action. Defendant Alpha shall move, answer or otherwise respond to the Complaint on or before January 7, 2019. So Ordered. (Alpha Capital Anstalt answer due 1/7/2019.) (Signed by Judge Edgardo Ramos on 10/17/18) (yv)
October 17, 2018	CLERK CERTIFICATE OF MAILING RECEIVED for Summons, The Court's Electronic Case Filing Rules and Instructions and Judge Ramos' Individual Practices mailed to Alpha Capital Ansalt at Lettstrasse 32, 9490, Vaduz, Liechtenstein on 10/5/2018 by Federal Express tracking # 7733 8618 5169, as per #45 Clerk Certificate of Mailing, RECEIVED ON: 10/10/2018. (smc)
October 16, 2018	Filing 48 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
October 16, 2018	Filing 47 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between Plaintiff, Securities and Exchange Commission, through its attorneys, and Defendant, Brian Keller, pro se, that: 1. Defendant Keller's time to move, answer otherwise respond to the Complaint shall be extended to November 26, 2018. (Brian Keller answer due 11/26/2018.) (Signed by Judge Edgardo Ramos on 10/16/2018) (jwh)
October 15, 2018	Filing 46 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
October 5, 2018	Filing 45 CLERK CERTIFICATE OF MAILING of one copy of the Complaint, Summons, The Court's Electronic Case Filing Rules and Instructions and Judge Ramos' Individual Practices mailed to Alpha Capital Ansalt at Lettstrasse 32, 9490, Vaduz, Liechtenstein on 10/5/2018 by Federal Express tracking # 7733 8618 5169, to the individual of the foreign state, pursuant to the provisions of FRCP 4(f)2(c)(ii). (smc)
October 2, 2018	Filing 44 WAIVER OF SERVICE RETURNED EXECUTED. Phillip Frost waiver sent on 9/13/2018, answer due 11/13/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
October 2, 2018	Filing 43 WAIVER OF SERVICE RETURNED EXECUTED. Frost Gamma Investments Trust waiver sent on 9/13/2018, answer due 11/13/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
October 2, 2018	Filing 42 ELECTRONIC SUMMONS ISSUED as to Alpha Capital Anstalt. (pne)
October 1, 2018	Filing 41 AFFIDAVIT OF SERVICE of Summons and Complaint,. Brian Keller served on 9/25/2018, answer due 10/16/2018. Service was accepted by Brian Keller. Document filed by Securities and Exchange Commission. (Brown, Nancy)
October 1, 2018	Filing 40 REQUEST FOR ISSUANCE OF SUMMONS as to Alpha Capital Anstalt, re: #1 Complaint,. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 26, 2018	Filing 39 NOTICE OF APPEARANCE by Adam Fee on behalf of HS Contrarian Investments, LLC, John Stetson, Stetson Capital Investments Inc.. (Fee, Adam)
September 26, 2018	Filing 38 NOTICE OF APPEARANCE by George S. Canellos on behalf of HS Contrarian Investments, LLC, John Stetson, Stetson Capital Investments Inc.. (Canellos, George)
September 26, 2018	Filing 37 NOTICE OF APPEARANCE by Jenna Minicucci Dabbs on behalf of Mark Groussman, Melechdavid, Inc.. (Dabbs, Jenna)
September 25, 2018	Filing 36 NOTICE OF APPEARANCE by Derek Wikstrom on behalf of Mark Groussman, Melechdavid, Inc.. (Wikstrom, Derek)
September 24, 2018	Filing 35 WAIVER OF SERVICE RETURNED EXECUTED. Stetson Capital Investments Inc. waiver sent on 9/10/2018, answer due 11/9/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 24, 2018	Filing 34 WAIVER OF SERVICE RETURNED EXECUTED. HS Contrarian Investments, LLC waiver sent on 9/10/2018, answer due 11/9/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 24, 2018	Filing 33 WAIVER OF SERVICE RETURNED EXECUTED. John Stetson waiver sent on 9/10/2018, answer due 11/9/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 24, 2018	Filing 32 NOTICE OF APPEARANCE by Sean Hecker on behalf of Mark Groussman, Melechdavid, Inc.. (Hecker, Sean)
September 24, 2018	Filing 31 NOTICE OF APPEARANCE by Philip Nathan Pilmar on behalf of Elliot Maza. (Pilmar, Philip)
September 24, 2018	Filing 30 NOTICE OF APPEARANCE by Nelson Andrew Boxer on behalf of Elliot Maza. (Boxer, Nelson)
September 21, 2018	Filing 29 WAIVER OF SERVICE RETURNED EXECUTED. ATG Capital LLC waiver sent on 9/10/2018, answer due 11/9/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 21, 2018	Filing 28 JUDGMENT AS TO DEFENDANT JOHN H. FORD: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (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: (a) to employ any device, scheme, or artifice to defraud; (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; or (c) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, and as further set forth in this judgment. 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 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 Judgment forthwith and without further notice. (John H. Ford terminated.) (Signed by Judge Edgardo Ramos on 9/21/2018) (jwh)
September 21, 2018	Filing 27 ORDER granting #23 Motion for Chris Johnstone to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (Ramos, Edgardo)
September 21, 2018	Filing 26 ORDER granting #22 Motion for Randall R. Lee to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (Ramos, Edgardo)
September 21, 2018	Filing 25 WAIVER OF SERVICE RETURNED EXECUTED. Elliot Maza waiver sent on 9/14/2018, answer due 11/13/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 21, 2018	***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #24 Proposed Judgment was reviewed and approved as to form. (km)
September 20, 2018	Filing 24 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
September 20, 2018	Filing 23 MOTION for Chris Johnstone to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15597314. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Robert Ladd. (Attachments: #1 Declaration, #2 Certificate of Good Standing - California, #3 Text of Proposed Order)(Johnstone, Chris)
September 20, 2018	Filing 22 MOTION for Randall R. Lee to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15597089. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Robert Ladd. (Attachments: #1 Declaration, #2 Certificate of Good Standing - California, #3 Text of Proposed Order)(Lee, Randall)
September 20, 2018	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #22 MOTION for Randall R. Lee to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15597089. Motion and supporting papers to be reviewed by Clerk's Office staff., #23 MOTION for Chris Johnstone to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15597314. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
September 19, 2018	Filing 21 WAIVER OF SERVICE RETURNED EXECUTED. GRQ Consultants, Inc. waiver sent on 9/11/2018, answer due 11/13/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 19, 2018	Filing 20 WAIVER OF SERVICE RETURNED EXECUTED. Barry C. Honig waiver sent on 9/11/2018, answer due 11/13/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 19, 2018	Filing 19 WAIVER OF SERVICE RETURNED EXECUTED. Grander Holdings, Inc. waiver sent on 9/10/2018, answer due 11/9/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 19, 2018	Filing 18 WAIVER OF SERVICE RETURNED EXECUTED. Michael Brauser waiver sent on 9/10/2018, answer due 11/9/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 19, 2018	Filing 17 WAIVER OF SERVICE RETURNED EXECUTED. John R. O'Rourke, III waiver sent on 9/10/2018, answer due 11/9/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 19, 2018	Filing 16 WAIVER OF SERVICE RETURNED EXECUTED. Mark Groussman waiver sent on 9/13/2018, answer due 11/13/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 19, 2018	Filing 15 WAIVER OF SERVICE RETURNED EXECUTED. Melechdavid, Inc. waiver sent on 9/13/2018, answer due 11/13/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 19, 2018	Filing 14 ELECTRONIC SUMMONS ISSUED as to Brian Keller. (dnh)
September 18, 2018	Filing 13 REQUEST FOR ISSUANCE OF SUMMONS as to Brian Keller, re: #1 Complaint,. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 17, 2018	Filing 12 NOTICE OF APPEARANCE by Anar Rathod Patel on behalf of GRQ Consultants, Inc., Barry C. Honig. (Patel, Anar)
September 17, 2018	Filing 11 NOTICE OF APPEARANCE by Michael Joseph Osnato, Jr on behalf of GRQ Consultants, Inc., Barry C. Honig. (Osnato, Michael)
September 17, 2018	Filing 10 NOTICE OF APPEARANCE by Adam Ross Toporovsky on behalf of GRQ Consultants, Inc., Barry C. Honig. (Toporovsky, Adam)
September 17, 2018	Filing 9 WAIVER OF SERVICE RETURNED EXECUTED. Robert Ladd waiver sent on 9/11/2018, answer due 11/13/2018. Document filed by Securities and Exchange Commission. (Brown, Nancy)
September 17, 2018	Filing 8 NOTICE OF APPEARANCE by Eli Bard Richlin on behalf of GRQ Consultants, Inc., Barry C. Honig. (Richlin, Eli)
September 17, 2018	Filing 7 NOTICE OF APPEARANCE by Michael S Sommer on behalf of GRQ Consultants, Inc., Barry C. Honig. (Sommer, Michael)
September 10, 2018	Filing 6 CIVIL COVER SHEET filed. (Brown, Nancy)
September 10, 2018	***NOTICE TO ATTORNEY REGARDING CIVIL CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Sanjay Wadhwa. The following case opening statistical information was erroneously selected/entered: Fee Status code none (no fee required);. The following correction(s) have been made to your case entry: the Fee Status code has been modified to wv (waived);. (jgo)
September 10, 2018	***NOTICE TO ATTORNEY REGARDING DEFICIENT CIVIL COVER SHEET. Notice to attorney Sanjay Wadhwa to RE-FILE Document No. #2 Civil Cover Sheet. The filing is deficient for the following reason(s): pdf case caption does not exactly match initial pleading caption;. Re-file the document using the event type Civil Cover Sheet found under the event list Other Documents and attach the correct PDF. Use civil cover sheet issued by S.D.N.Y. dated June 2017. The S.D.N.Y. Civil Cover Sheet dated June 2017 is located at#http://nysd.uscourts.gov/file/forms/civil-cover-sheet.. (jgo)
September 10, 2018	CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Edgardo Ramos. Please download and review the Individual Practices of the assigned District Judge, located at #http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #http://nysd.uscourts.gov/ecf_filing.php. (jgo)
September 10, 2018	Magistrate Judge Barbara C. Moses is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #http://nysd.uscourts.gov/forms.php. (jgo)
September 10, 2018	Case Designated ECF. (jgo)
September 7, 2018	Filing 5 NOTICE OF APPEARANCE by Jon Daniels on behalf of Securities and Exchange Commission. (Daniels, Jon)
September 7, 2018	Filing 4 NOTICE OF APPEARANCE by Katherine Starr Bromberg on behalf of Securities and Exchange Commission. (Bromberg, Katherine)
September 7, 2018	Filing 3 NOTICE OF APPEARANCE by Nancy A Brown on behalf of Securities and Exchange Commission. (Brown, Nancy)
September 7, 2018	Filing 2 FILING ERROR - PDF ERROR - CIVIL COVER SHEET filed. (Wadhwa, Sanjay) Modified on 9/10/2018 (jgo).
September 7, 2018	Filing 1 COMPLAINT against ATG Capital LLC, Alpha Capital Anstalt, Michael Brauser, John H. Ford, Phillip Frost, Frost Gamma Investments Trust, GRQ Consultants, Inc., Grander Holdings, Inc., Mark Groussman, HS Contrarian Investments, LLC, Barry C. Honig, Brian Keller, Robert Ladd, Elliot Maza, Melechdavid, Inc., John R. O'Rourke, III, OPKO Health, Inc., Southern Biotech, Inc., John Stetson, Stetson Capital Investments Inc.. Document filed by Securities and Exchange Commission.(Wadhwa, Sanjay)

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Search for this case: Securities and Exchange Commission v. Honig et al
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Defendant: Alpha Capital Anstalt
Represented By:	Andrew J. Levander
Represented By:	Rebecca Kahan Waldman
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Defendant: ATG Capital LLC
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Defendant: Michael Brauser
Represented By:	Dennis Alan Richard
Represented By:	Joshua A. Katz
Represented By:	Melissa Lea Mackiewicz
Represented By:	Michael David Handelsman
Represented By:	James D. Sallah
Represented By:	Mark J. Astarita
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Defendant: Barry C. Honig
Represented By:	Anar Rathod Patel
Represented By:	Michael S Sommer
Represented By:	Adam Ross Toporovsky
Represented By:	Michael Joseph Osnato, Jr
Represented By:	Eli Bard Richlin
Represented By:	Daniel Robert Walfish
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Defendant: John R. O'Rourke, III
Represented By:	Gregory Robert Morvillo
Represented By:	Savannah Stevenson
Represented By:	Nicole Renee Lloret
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Defendant: Brian Keller
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Defendant: Melechdavid, Inc.
Represented By:	Derek Wikstrom
Represented By:	Jenna Minicucci Dabbs
Represented By:	Sean Hecker
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Defendant: HS Contrarian Investments, LLC
Represented By:	George S. Canellos
Represented By:	Adam Fee
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Defendant: John Stetson
Represented By:	George S. Canellos
Represented By:	Adam Fee
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Defendant: Frost Gamma Investments Trust
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Defendant: OPKO Health, Inc.
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Defendant: GRQ Consultants, Inc.
Represented By:	Anar Rathod Patel
Represented By:	Michael S Sommer
Represented By:	Adam Ross Toporovsky
Represented By:	Michael Joseph Osnato, Jr
Represented By:	Eli Bard Richlin
Represented By:	Daniel Robert Walfish
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Defendant: Robert Ladd
Represented By:	Randall R Lee
Represented By:	Chris Johnstone
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Defendant: Phillip Frost
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Defendant: Southern Biotech, Inc.
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Defendant: Stetson Capital Investments Inc.
Represented By:	George S. Canellos
Represented By:	Adam Fee
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Defendant: John H. Ford
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Defendant: Grander Holdings, Inc.
Represented By:	Dennis Alan Richard
Represented By:	Joshua A. Katz
Represented By:	Melissa Lea Mackiewicz
Represented By:	Michael David Handelsman
Represented By:	James D. Sallah
Represented By:	Mark J. Astarita
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Defendant: Elliot Maza
Represented By:	Philip Nathan Pilmar
Represented By:	Nelson Andrew Boxer
Represented By:	Jack Michael Genberg
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Defendant: Mark Groussman
Represented By:	Derek Wikstrom
Represented By:	Jenna Minicucci Dabbs
Represented By:	Sean Hecker
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Plaintiff: Securities and Exchange Commission
Represented By:	Jon Daniels
Represented By:	Sanjay Wadhwa
Represented By:	Katherine Starr Bromberg
Represented By:	Nancy A Brown
Represented By:	Jack Kaufman
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