Defendant Name:
Horter Investment Management, LLC
Defendant Type:
Other
Document Reference:
IA-4823
Document Details
Legal Case Name
Case Name In the Matter of Horter Investment Management, LLC
Document Name
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
Document Date
08-Dec-2017
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Compliance Related Independent Consultant
Monetary Penalties:
Disgorgement
Individual:
$482,595.00
Shared:
Civil Penalty
Individual:
$250,000.00
Shared:
Pre-Judgment Interest
Individual:
$46,209.00
Shared:
