Owner's Father Played Role In Sage Advisory Fraud: SEC

Law360, New York (September 1, 2011, 3:49 PM EDT) -- The U.S. Securities and Exchange Commission targeted Sage Advisory Group LLC anew Thursday in a Massachusetts federal court securities fraud suit, now accusing owner Benjamin Lee Grant's father of violating past orders not to associate with an investment adviser.

John Alexander “Jack” Grant, a lawyer and former stockbroker who in 1988 was barred from associating with broker-dealers or investment advisers after he was accused of selling unregistered securities and stealing investor funds, violated that injunction by advising investors to do business with his son's company, the...
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Case Information

Case Title

Securities and Exchange Commission v. Grant et al

Case Number




Nature of Suit



George A. OToole, Jr

Date Filed

September 1, 2011


Government Agencies

UK Financial Services

UK Financial Services

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