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Violation Tracker Individual Record

Company: Assurance Capital Management, LLC
Penalty: $1,969,165
Year: 2017
Date: July 11, 2017
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Susan C. Bucklew of the U.S. District Court for the Middle District of Florida entered an Order of Final Judgment by Default against Defendants Anthony J. Klatch II, Lindsey Heim, and their company Assurance Capital Management, LLC for defrauding pool participants in a commodity pool they operated, misappropriating pool participants' funds, and other violations of the Commodity Exchange Act and CFTC Regulations.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.