Category Archives: Horter Investment Management

Horter Investment Management Hit With $750k Regulatory Sanction-Cincinnati, OH

April 2018-Cincinnati, Ohio

We are investigating Cincinnati-based registered investment adviser Horter Investment Management, LLC. (“Horter“).

In December 2017 the US Securities and Exchange Commission (SEC) entered an Order and imposed sanctions against Horter, including a censure, and  disgorgement of $482,595, prejudgement interest of $46,209 and a civil penalty of $250,000.

According to the SEC Order, Horter made misstatements to certain advisory clients concerning F-Squared Investments, Inc. , materially inflated, and hypothetical and back-tested, performance track record for its AlphaSector strategy between January 2012-November 2014. The SEC found that Horter violated securities laws by publishing, circulating and distributing advertisements that contained untrue statements of material fact.

Horter Investment Management has been registered as an investment adviser with the SEC since January 2007 and as of September 2017 had over $1 billion in regulatory assets under management.

F-Squared Investments was an investment adviser headquartered in Wellesley, MA, registered with the SEC until January 2016. In December 2014, the SEC settled a fraud action against F-Squared in which the company admitted to making material false claims in connection with their AlphaSector strategy.

If you have questions about the way your account has been handled at Horter Investment Management, contact us for a no charge consultation to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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