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July 11, 2017

Posted  July 11, 2017

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 IILindsey Heim, and their company Assurance Capital Management, LLC (ACM) 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. The Order requires that Klatch, Lindsey Heim, and ACM jointly pay $459,613 in restitution and a $1,509,552 civil monetary penalty. The Order also requires that Klatch pay an additional $96,873 in restitution and a $335,456 civil monetary penalty for two additional fraudulent schemes he carried out. CFTC

Tagged in: Fraud in CFTC-Regulated Markets, Regulatory Violations,