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January 15, 2015

Securities and Exchange Commission v. Elm et al

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. January 29, 2020

    Fund Manager Accused Of $17M Stock Scam Mulls Guilty Plea

    A Florida fund manager who fled to Canada after the feds accused him of using his Elm Tree Investment Advisors firm to conduct a $17 million stock fraud is weighing a guilty plea, having been extradited to New York and detained, a Manhattan federal judge heard Wednesday.

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