Tagged with "Florida based advisor"

Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme

Posted on January 22nd, 2015 at 2:17 PM
Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme

The SEC has charged a Florida based investment advisor firm, Elm Tree Investment Advisors LLC, its founder Frederic Elm, and its private funds Elm Tree Investment Fund LP, Elm Tree “e” Conomy Fund LP, and Elm Tree Motion Opportunity LP with defrauding investors out of $17 million. 

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You were most helpful with my FINRA deposition. You are a good lawyer and a good person.

Dan B.


November 28, 2023
Arbitration Mandated for Former Morgan Stanley Advisors' Class Claim on Deferred Compensation

A federal judge in Manhattan has granted Morgan Stanley’s request to transfer a potential class action lawsuit to arbitration.

November 28, 2023
Wells Fargo Under SEC Scrutiny for Cash Sweep Programs

The Securities and Exchange Commission (SEC) is investigating Wells Fargo & Company over cash sweep options provided to investment advisory clients.

November 22, 2023
FINRA Alleges $2 Million in Client Losses and $2 Million in Commissions Due to Advisor's Churning

According to a Financial Industry Regulatory Authority (FINRA) complaint, Stewart "Paxton" Ginn excessively traded accounts over two and a half years, resulting in $2.22 million in losses and $2.24 million in commissions for him and his firm.