Elm last month agreed to pay more than $896,000 to the SEC to resolve a civil suit filed against him, according to federal court records in Florida.
The criminal case is U.S. v. Elm, 16-mag-02259, U.S. District Court, Southern District of New York (Manhattan). The SEC case is SEC v. Frederic Elm, 15-cv-60082, U.S. District Court, Southern District of Florida.