2023-02-15
3-20531
Horter Investment Management, LLC
Horter, Drew K.
/litigation/apdocuments/ap-3-20531.xml
2021-09-08
IA-5853
Order Instituting Administrative and Cease and Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2021/ia-5853.pdf
2021-09-15
IA-5861
Order Regarding Service
/litigation/opinions/2021/ia-5861.pdf
2021-09-23
IA-5871
Order
/litigation/opinions/2021/ia-5871.pdf
2021-10-18
IA-5890
Protective Order
/litigation/opinions/2021/ia-5890.pdf
2021-10-06
Answer and Affirmative Defenses of Respondents Horter Investment and Affirmative Defenses of Respondents Horter Investment Management, LLC and Drew K. Horter
/litigation/apdocuments/3-20531-2021-10-06-answer-and-affirmative-defenses.pdf
2021-10-08
Division's Motion for Protective Order
/litigation/apdocuments/3-20531-2021-10-08-division-motion-for-protective-order.pdf
2021-10-26
IA-5897
Order
/litigation/opinions/2021/ia-5897.pdf
2021-12-14
IA-5925
Order
/litigation/opinions/2021/ia-5925.pdf
2022-01-31
IA-5953
Order
/litigation/opinions/2022/ia-5953.pdf
2022-02-18
IA-5969
Order
/litigation/opinions/2022/ia-5969.pdf
2022-04-14
34-94725
Order
/litigation/opinions/2022/34-94725.pdf
2022-04-15
AP-6843
Order Designating Presiding Judge
/alj/aljorders/2022/ap-6843.pdf
2022-04-27
AP-6846
Order
/alj/aljorders/2022/ap-6846.pdf
2022-05-05
AP-6848
Order
/alj/aljorders/2022/ap-6848.pdf
2022-05-10
AP-6849
Order
/alj/aljorders/2022/ap-6849.pdf
2022-08-23
AP-6864
Order
/alj/aljorders/2022/ap-6864.pdf
2022-09-23
AP-6873
Order
/alj/aljorders/2022/ap-6873.pdf
2022-11-03
IA-6182
Order Making Findings and Imposing a Cease-and-Desist Order Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Ordering Continuation of Proceedings
/litigation/admin/2022/ia-6182.pdf
2022-11-04
AP-6878
Order
/alj/aljorders/2022/ap-6878.pdf
2022-12-05
AP-6888
Order
/alj/aljorders/2022/ap-6888.pdf
2023-01-30
Respondent’s Response Brief to the Division’s Motion for Sanctions with Exhibits A-B
/litigation/apdocuments/3-20531-2023-01-30-respondent-response.pdf
2023-01-30
Division’s Response to Respondent’s Brief Addressing Civil Penalties and Other Remedial Actions
/litigation/apdocuments/3-20531-2023-01-30-division-response.pdf
2023-01-09
Respondent's Brief Addressing Civil Penalties and Other Remedial Actions with Exhibits A-G
/litigation/apdocuments/3-20531-2023-01-09-respondents-brief.pdf
2023-01-09
Division's Motion for Sanctions Against Respondent with Exhibits 1-2 and A-B
/litigation/apdocuments/3-20531-2023-01-09-divisions-motion-sanctions.pdf
2023-01-23
Division's Declaration of N. Magina in Support of Motion for Sanctions with Exhibits 1-5(Updated Copy Recv 1-23-2023)-
/litigation/apdocuments/3-20531-2023-1-23-division-declaration.pdf
2023-03-20
Initial Decision
/alj/aljdec/2023/id1414.pdf
2023-04-10
Respondents’ Petition for Review of Initial Decision
/litigation/apdocuments/3-20531-2023-04-10-respondent-petition.pdf
2023-05-01
IA-6295
Order Granting Petition for Review and Scheduling Briefs
/litigation/opinions/2023/ia-6295.pdf
2023-05-31
Respondents' Opening Brief
/litigation/apdocuments/3-20531-2023-05-31-resp-brief-review-initial-decision.pdf
2023-07-14
Motion for Postponement of Proceedings
/litigation/apdocuments/3-20531_2023-7-14_resp-motion-for-postponement.pdf
2023-07-14
Respondents' Reply
/litigation/apdocuments/3-20531_2023-7-14_resp-reply-brief-iso-review-initial-dec.pdf
2023-07-21
Division of Enforcement's Opposition Re Motion for Postponement
/litigation/apdocuments/3-20531-2023-07-21-divi-opposition.pdf