Home > Investor Information > Investor Newsletter > Investor Newsletter

NFA Investor Newsletter

2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007

 

NFA Investor Newsletter

April 1, 2011

In this Issue: Money Smart Week 2011 Consumer Sentinel Network Report Dallas Traders Expo

NFA spreads investor education message during Money Smart Week

Money Smart Week 2011

NFA will participate in two events in conjunction with Money Smart Week in Chicago. Coordinated by the Federal Reserve Bank of Chicago, Money Smart Week (April 2-9) offers more than 450 free educational classes, seminars and activities focusing on financial topics for people of all walks of life.

On Friday, April 8, NFA, the Commodity Futures Trading Commission (CFTC) and AARP will co-sponsor a seminar titled "Don't Lose Your Life Savings to Investment Fraud". The program will be held at the AARP Illinois office at 222 N. LaSalle St., Suite 710 from 12:00 p.m. to 1:00 p.m. Representatives from the CFTC and NFA will provide attendees with advice on how to identify the warning signs and avoid investment fraud. Anyone wishing to attend the program should pre-register by calling (312) 458-3607.

On Thursday, April 7, NFA will join other regulatory and enforcement agencies at a Financial Regulators Fair at the State of Illinois Building, Thompson Center. Representatives from twelve agencies, including the CFTC, FINRA, the SEC and the FDIC, will distribute information on financial protection, banking, credit and investing. The event will run from 10:00 a.m. to 2:00 p.m.

For more information on these and other Money Smart Week events, visit www.moneysmartweek.org/Chicago.



Identity theft tops list of customer complaints in 2010

The Consumer Sentinel Network (CSN) reports that identity theft was the number one complaint category during calendar year 2010. This marks the eleventh consecutive year that identity theft has topped the list.

The CSN is a secure online database of millions of consumer complaints available only to law enforcement. The database contains complaints received by the Federal Trade Commission, Better Business Bureaus, the U. S. Postal Inspection Service and other organization. Law enforcement agencies can use information in the database to enhance and coordinate investigations. The CSN received over 1.3 million complaints in 2010.

The Federal Trade Commission has developed a website devoted entirely to identity theft. According to the FTC, "this website is a one-stop national resource to learn about the crime of identity theft. It provides detailed information to help you deter, detect, and defend against identity theft.

On this site, consumers can learn how to avoid identity theft - and learn what to do if their identity is stolen. Businesses can learn how to help their customers deal with identity theft, as well as how to prevent problems in the first place. Law enforcement can get resources and learn how to help victims of identity theft."

NFA will provide investor education at Traders Expo in Dallas, Texas

NFA is sponsoring an information booth at the Dallas Traders Expo on June 15-18 at the Hyatt Regency Dallas at Reunion. NFA staff will distribute copies of NFA's investor education materials and answer questions from expo attendees.

This marks the first time that a Traders Expo has been held in Dallas, giving investors in Texas and surrounding states the opportunity to attend educational trading seminars and workshops as well as to visit the exhibit hall featuring trading software providers, investment companies, futures and options exchanges and other vendors.

For more information visit the Expo's Web site at www.TradersExpo.com.



Recent Enforcement Actions

In the first quarter of 2011, NFA's Business Conduct Committee issued Decisions, Member Responsibility Actions, Final Orders in Registration Cases and Complaints against the following NFA Member firms and individuals. Click on the name for more detailed information.

Decisions in Disciplinary Cases
Bill A. Ahlswede
Martin J. Allamian
Scott L. Bryce
Rogelio Camacho
CD Capital Management Inc.
Eric Clary
Clash Financial LLC
Diligent Management LLC
Direct Futures LLC
Dranger Capital Management LLC
Easy Trader Inc.
Augusto G. Gallegos
James J. Gilberti
Seth Goldberger
Investors Trading Institute
Linuxor Asset Management LLC
Matthew E. Meyer
Petra Trading Group LLC
Pinnacle Resource Management Inc.
William M. Reynolds
Anastasios D. Rigas
Ovid Alejandro Rijfkogel
Oxford Trading Group, Inc. et al.
Phil A. Owens
Russell Sands
Abbas A. Shah
Turtle Futures, Inc.
Vista Trading Advisors Inc.
Francis R. Zofay

Member Responsibility Actions
James D. Crombie
Dominique M. Da'Cruz
Paron Capital Management, LLC
Trading Dock Capital LLC

Final Orders in Registration Cases
Gregory T. Anderson
Concept Capital Markets LLC
Nicholas J. Darby
Thomas H. Dering
Robert T. Kretschmer

Complaints
Financial Commodity Investments Inc.
Craig Kendall
Midwest Futures Inc.
William N. Zechmann


Links to NFA

Investor Information

Background Affiliation Status Information Center (BASIC)

File a Complaint

NFA's Website

Sign Up to receive the Investor Newsletter by Email.

Past Investor Newsletters 

Let Us Know What You Think About This Newsletter

Send us an Email


Subscribe to our Feeds Subscribe to our Feeds
Follow us on Twitter Follow NFA_News on Twitter

Check Broker / Firm Information (BASIC)

You can check the registration status and disciplinary history of any futures firm or individual.

Begin Search

File a Complaint

You can file a complaint online. Be sure to include as much information as you can.

File a Complaint

Subscribe to Receive Free Investor Newsletter

Subscribe to receive NFA communications such as Notices to Members, press releases and Web updates via email.

 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy