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

Other
• 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
Headline Total Penalty and Disgorgement $778,804

Related Documents:

IA-4823 08-Dec-2017 Administrative Proceeding
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

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