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Two Fraud Cases Cost One Broker and His Firm $1 million

Two fraud cases have resulted in a $1 million fine and a permanent bar for the principal of Sage Advisory Group, Benjamin Lee Grant. According to the SEC, when Grant first opened Sage Advisory Group he falsely informed clients that utilizing the services of his new firm would result in lower costs and fees than those charged by his prior firm. Additionally, Mr. Grant failed to disclose that his father, an advisor serving clients with Sage Advisory Group, was permanently bared from the industry in 1988.

If you believe you have been victimized by securities fraud, financial malpractice, or theft by a FINRA registered broker, please call the securities attorneys of the Costello Law Group at (877) 418-0003 for a free consultation.

To read more, please visit: http://www.investmentnews.com/article/20150602/FREE/150609980/adviser-ordered-to-pay-more-than-1-million-in-sec-fraud-cases

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