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Securities and Exchange Commission v. John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant Securities and Exchange Commission v. John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant

SEC CHARGES MASSACHUSETTS-BASED ATTORNEY FOR VIOLATING AN INVESTMENT ADVISER BAR AND HIS SON FOR FAILING TO DISCLOSE HIS FATHER’S BAR TO ADVISORY CLIENTS The Securities and Exchange Commission announced that it filed a civil injunctive action today in federal district court in Massachusetts against John A. “Jack” Grant (“Jack Grant”), Sage Advisory Group, LLC, a Massachusetts-based investment adviser registered with the Commission, and its sole principal, owner, and employee, Benjamin Lee Grant (“Lee Grant”). The Commission’s complaint alleges that Jack Grant, ... Read More

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Securities and Exchange Commission v. Michael Strauss, Stephen Hozie and Robert Bernstein Securities and Exchange Commission v. Michael Strauss, Stephen Hozie and Robert Bernstein

Securities and Exchange Commission v. Michael Strauss, Stephen Hozie and Robert Bernstein, Civil Action No. 09-cv-4150 (S.D.N.Y. April 28, 2009) On March 8, 2011 the Court entered an order (the “Order”) sought by the Commission authorizing the establishment of a Fair Fund comprised of approximately $1.6 million dollars in disgorgement, post judgment interest and penalties paid by defendants Michael Strauss and Stephen Hozie. The Order provided that the Fair Fund would be distributed, net of a reserve for taxes, fees and ... Read More

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Securities and Exchange Commission v. Evolution Capital Advisors Securities and Exchange Commission v. Evolution Capital Advisors

SEC Charges New York Businessman and Two Houston-area Firms with Conducting a Fraudulent $10 Million Note Offering On August 10, 2011, the Securities and Exchange Commission ("Commission") filed suit in the United States District Court for the Southern District of Texas against Damian Omar Valdez of New York and two Houston-area firms he controlled, Evolution Capital Advisors ("Evolution Capital") and Evolution Investment Group I ("EIGI"). Evolution Capital was an investment adviser registered with the Commission until June 2010. The firms and ... Read More

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