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Re: None

Thursday, 10/04/2018 10:23:41 AM

Thursday, October 04, 2018 10:23:41 AM

Post# of 36730
"None of these companies were charged by the SEC."

The companies allegedly involved in the trading were BioZone Pharmaceuticals, MGT Capital Investments and MabVax Therapeutics Holdings. Maza was CEO of BioZone while Keller was the chief scientific officer. Ladd was CEO of MGT Capital Investments. None of these companies were charged by the SEC.

Maza, Keller and Ladd worked with Honig’s group to take steps beneficial to them while not disclosing this activity to other shareholders, the SEC said in its complaint.

In the case of MGT Capital and MabVax, Frost, Honig, Brauser, Stetson, O’Rourke and Groussman broke securities laws by failing to disclose that their group had a beneficial ownership of the companies, according to the SEC.


https://www.bizjournals.com/southflorida/news/2018/09/07/billionaire-opko-ceo-frost-among-10-named-in-sec.html
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