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Securities and Exchange Commission v. Grant et al
Case Number:
1:10-cv-11665
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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June 01, 2015
Investment Adviser Hit With $1M Punishment In SEC Cases
A Massachusetts federal judge imposed a $1 million punishment on Sage Advisory Group LLC and its owner Friday after they were found to have misled numerous clients of a brokerage to bring them to the firm.
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August 13, 2014
Jury Says Investment Adviser Is Liable In SEC Fraud Case
A Massachusetts federal jury on Wednesday returned a verdict in favor of the U.S. Securities and Exchange Commission and against Sage Advisory Group LLC and its owner, concluding that he misled numerous brokerage clients to bring them from his former employer to his own firm.