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Violation Tracker Individual Record

Company: Guardian Asset Group, LLC
Penalty: $1,086,033
Year: 2017
Date: May 23, 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 announced that a federal judge entered a Consent Order against Guardian Asset Group, LLC and its owner and principal finding that they engaged in illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined, or financed basis.
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.