CFTC v. Klatch, Heim and Assurance Capital Management (2017)

Judgment entered

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In January 2017 the CFTC sued Anthony J. Klatch II, Lindsey Heim and Assurance Capital Management of Tampa over commodity pool fraud and misappropriation. On June 23, 2017 a federal court entered a default judgment ordering civil penalties of about $1.85 million plus restitution, trading and registration bans, and a disclosure requirement for Klatch. Klatch and Heim were also criminally charged and pleaded guilty.

The record

What was ordered

Civil penalty

$1.8m

Disgorgement

—

Prejudgment interest

—

Total relief

$1.8m

Alleged gain

—

A dash means the release did not state a figure we could extract, not that the figure is zero. Penalty and disgorgement are stored separately so aggregates across the library do not double-count the same dollars.

What is alleged to have happened

The complaint alleges that after his 2014 release from prison Klatch ran several schemes between April 2014 and December 2015, including a pool that took about $92,000 and lost or misappropriated all of it, and trading in a prospective investor's account that lost at least $367,000 in three days. He had been sentenced to 60 months in 2012 for an earlier Ponzi scheme and was permanently barred from futures trading in a prior CFTC case. The earlier Ponzi scheme is history in this release, not the charged conduct, so the ponzi-schemes tag has been removed.

Outcome. The defendants did not respond, and on June 23, 2017 Judge Susan Bucklew of the Middle District of Florida entered a final judgment by default, which the CFTC announced on July 11, 2017. The order requires Klatch, Heim and the company jointly to pay $459,613 in restitution and a $1,509,552 civil penalty, and Klatch alone to pay a further $96,873 in restitution and a $335,456 penalty for two other schemes. The penalty figure stored here, $1,845,008, is the sum; restitution is not a field on this record. The order bans Heim and the company permanently from trading and registration, extends a trading ban to Klatch, and makes Klatch state his violations whenever he speaks or writes about commodity interests. The CFTC release says Klatch and Heim pleaded guilty in a related criminal case in the same court.

What the source does not show: the criminal sentences, or any amounts actually collected.

Timeline

1. 2017-01-27 CFTC release published
2. 2017-06-23 Final judgment by default entered; announced by the CFTC on July 11, 2017

Primary documents

Everything on this page derives from the documents below. Where our summary and the primary document disagree, the primary document is right.

• CFTC release
• CFTC release on the final judgment
• Order of final judgment by default (court filing)

The linked release is a work of the United States government and is not subject to copyright. Our summary and narrative above are our own writing.

Record added September 10, 2026. submit a correction.