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Securities and Exchange Commission v. Grant et al
Case Number:
1:11-cv-11538
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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September 01, 2011
Owner's Father Played Role In Sage Advisory Fraud: SEC
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.