SEC Issues Order Involving Elm Partners Management
September 12, 2023
September 12, 2023
WASHINGTON, Sept. 12 -- The Securities and Exchange Commission issued the following order (No. 3-21638) on Sept. 11, 2023:
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In the Matter of ELM PARTNERS MANAGEMENT LLC, Respondent.
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 203(e) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER
I.
The Securities and Ex . . .
* * *
In the Matter of ELM PARTNERS MANAGEMENT LLC, Respondent.
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 203(e) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER
I.
The Securities and Ex . . .