Defendant Name:
Horter Investment Management, LLC
Defendant Type:
Other
Initial Case Details
Legal Case Name
In the Matter of Horter Investment Management, LLC
First Document Date
08-Dec-2017
Initial Filing Format
Administrative Action
File Number
3-18302
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 206(2), 206(4), 204(a) Investment Advisers Act; Rules 206(4)-1(a)(5), 206(4)-7, 204-2(a)(16) Investment Advisers Act
Resolutions
First Resolution Date
08-Dec-2017