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Evan Katz Permitted to Resign Following SEC Allegations

Evan Katz (CRD #: 5848403) has been permitted to resign by Stonehaven LLC. This disclosure appears on his BrokerCheck record, accessed on October 17, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On September 30, 2024, Stonehaven permitted Evan Katz to resign following allegations that he failed to make required disclosures. He allegedly failed to disclose an SEC investigation into his alleged misconduct. 

Regulatory Action 

On September 27, 2024, the SEC alleged that Evan Katz provided a forged Audit Report and Performance Audit to prospective investors in the Crawford Ventures Absolute Return Fund. Evan Katz was a co-founder of the fund, which the SEC alleges raised more than $16 million from investors. The managers’ principals provided the forged reports, but the SEC alleges that Evan Katz failed to take reasonable steps to confirm the legitimacy of the audits. 

Evan Katz was ordered to return $98,542.97 to investors and imposed a fine of $5,397.83. 

Background Information 

Evan Katz has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 82 Limited Representative-Private Securities Offerings 

He is a registered broker with three firms:

  • Stonehaven (CRD #: 118913) 
  • BA Securities (CRD #: 153489) 
  • Alternative Asset Investment Management Securities (CRD #: 135131) 

Kurta Law Can Help 

If you worked with Evan Katz and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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