Horowitz & Company, Inc..

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GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION
2.
Principal Sanction:
Other
Other Sanctions: 
STIPULATION AND CONSENT; ADMINISTRATIVE FINE

3.
Date Initiated (MM/DD/YYYY): 
12/13/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
ADMINISTRATIVE PROCEEDING NO.: 93029-S
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
FLORIDA OFFICE OF FINANCIAL REGULATION ALLEGED VARIOUS VIOLATIONS OF SECTION 517.12, FLORIDA STATUTES AND RULE 69W-600, FLORIDA
ADMINISTRATIVE CODE RELATED TO: FAILED TO AMEND FORM ADV; FAILED TO ENTER INTO WRITTEN INVESTMENT ADVISORY AGREEMENTS WITH ONE
OR MORE CLIENTS; FAILED TO PREPARE AND MAINTAIN TRUE, ACCURATE AND CURRENT WRITTEN INVESTMENT ADVISORY AGREEMENTS ENTERED INTO
WITH ONE OR MORE CLIENTS; INCLUDING, IN ONE OR MORE INVESTMENT ADVISORY CONTRACTS, A CONDITION, STIPULATION, OR PROVISION
BINDING ONE OR MORE CLIENTS TO WAIVE COMPLIANCE WITH CHAPTER 517, FLORIDA STATUTES; FAILED TO SEND AN ITEMIZED INVOICE TO ONE OR
MORE CLIENTS EACH TIME AN ADVISORY FEE WAS DEDUCTED FROM CLIENT ACCOUNTS; FAILED TO MAINTAIN TRUE, ACCURATE AND CURRENT
WRITTEN PROCEDURES TO SUPERVISE THE ACTIVITIES OF EMPLOYEES AND INVESTMENT ADVISER REPRESENTATIVES; FAILED TO PREPARE AND
MAINTAIN WRITTEN INFORMATION ABOUT EACH INVESTMENT ADVISORY CLIENT THAT IS THE BASIS FOR MAKING ANY RECOMMENDATION OR
PROVIDING ANY INVESTMENT ADVICE TO SUCH CLIENT; AND FAILED TO TIMELY FILE UNAUDITED FINANCIAL STATEMENTS AND FAILED TO PREPARE
SUCH FINANCIAL STATEMENTS IN ACCORDANCE WITH UNITED STATES GENERALLY ACCEPTED ACCOUNTING PRINCIPLES WITH THE FLORIDA OFFICE OF
FINANCIAL REGULATION FOR FISCAL YEAR 2017.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Stipulation and Consent
11. Resolution Date (MM/DD/YYYY):
02/18/2019
 Exact
 Explanation
If not exact, provide explanation:
HOROWITZ & COMPANY SIGNED THE STIPULATION AND CONSENT AGREEMENT ON 02/18/2019.
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 8,502.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
CEASE AND DESIST VIOLATIONS OF SECTION 517.12 , FLORIDA STATUTES, AND RULE 69W-600, FLORIDA ADMINISTRATIVE CODE, AND TO
STRICTLY COMPLY WITH ALL PROVISIONS OF CHAPTER 517, FLORIDA STATUTES, AND THE RULES PROMULGATED THERETO
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
HOROWITZ & COMPANY PAID THE FULL AMOUNT OF THE $8,502.00 FINE ON OR ABOUT 02/19/2019.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
RESULTING FROM A ROUTINE EXAMINATION OF THE ADVISORY BOOKS AND RECORDS OF HOROWITZ & COMPANY, WITHOUT ISSUING A DEFICIENCY
LETTER OR NOTICE OF NON-COMPLIANCE, THE STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION IMPOSED AN ADMINISTRATIVE FINE WITH A
STIPULATION AND CONSENT AGREEMENT. HOROWITZ & COMPANY ADDRESSED THE ALLEGED DEFICIENCIES NOTED IN THE STIPULATION AND
CONSENT AGREEMENT PRIOR TO ENTERING INTO A FINAL AGREEMENT WITH THE FLORIDA OFFICE OF FINANCIAL REGULATION ON OR ABOUT
02/18/2019. FOR BUSINESS REASONS AND TO AVOID FURTHER LEGAL COSTS, HOROWITZ & COMPANY ACCEPTED THE STIPULATION AND CONSENT
AGREEMENT WITH THE FLORIDA OFFICE OF FINANCIAL REGULATION WITHOUT ADMITTING OR DENYING THE ALLEGED FINDINGS PAID THE
ADMINISTRATIVE FINE.