Tag: misrepresentations

The SEC and the Manhattan U.S. Attorney’s Office brought actions against a hedge fund adviser who lost most of the money raised from investors through risky trading while trying to conceal that fact from them, the brokers and others – …

IA Settles With SEC, USAO After Letter to Investors Admitting Losses Read More »

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The Commission prevailed in another jury trial this week, securing a favorable verdict against a registered investment adviser, Sage Advisory Group, LLC, and its principal, Benjamin Grant. SEC v. Sage Advisory Group, LLC, Civil Action No. 1: 10-cv-11665 (D. Mass.). …

SEC Prevails in Jury Trial Against IA and Principal Read More »

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