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NFA Investor Newsletter

Past Investor Newsletters

October 15, 2015
In this Issue:
National Cyber Security Awareness Month Commodity Futures Trading Commission RED List The Alert Investor: an online investor magazine sponsored by FINRA Visit NFA at the Traders Expo & AAII Investor Conference in Las Vegas NFA to speak on panels at FIA Expo 2015 Recent enforcement actions


National Cyber Security Awareness Month

October is National Cyber Security Awareness Month, which aims to protect internet users and help them avoid fraudulent online activity. Recent news continues to highlight breaches at companies you know, including retail stores, insurance providers, large banks and brokerage firms. With the internet being so easily accessible, it is important for users and investors to know how to protect themselves from these cyber attacks.

This year, the Department of Homeland Security designed a five-week program that includes the following keystone events and themes, in order to increase awareness for internet users in the event of a cyber incident:

  • Week 1: General Cybersecurity Awareness: 5 Years of Stop.Think.Connect.™
  • Week 2: Creating a Culture of Cybersecurity at Work
  • Week 3: Connected Communities: Staying Protected While Always Connected
  • Week 4: Your Evolving Digital Life
  • Week 5: Building the Next Generation of Cyber Professionals

These events provide resources for internet users and highlight ways users can protect against fraudulent activity and cyber breaches. Although it is now Week 3, additional cybersecurity resources are available to refer to year round on the Department of Homeland Security's "Stop.Think.Connect.™" toolkit.

Commodity Futures Trading Commission RED List

In early September, the Commodity Futures Trading Commission (CFTC) published the RED (Registration Deficient) List as one of its ongoing efforts to help protect the public from fraud. Per the CFTC, trading with or through registered entities, gives consumers and investors a greater chance of having protected funds. This list provides U.S. consumers with information regarding foreign entities that are acting in an unregistered capacity.

The RED List joins CFTC's SmartCheck campaign, launched last year, to help investors identify and protect themselves against financial fraud.

The Alert Investor: an online investor magazine sponsored by FINRA

The Alert Investor is an online magazine dedicated to educating investors and helping them better understand the financial markets. Sponsored by the Financial Industry Regulatory Authority (FINRA), The Alert Investor shares information with individuals of all levels of experience—from beginning to seasoned investors. Recent articles highlighted include:

For more information and articles on investing, visit The Alert Investor online.

Visit NFA at the Traders Expo & AAII Investor Conference in Las Vegas

Investors can meet with NFA staff members twice this year in Las Vegas, Nev. NFA will be exhibiting during the 2015 International Traders Expo in October and again in November, during the 2015 AAII Investor Conference.

The Traders Expo offers industry professionals the opportunity to meet face-to-face with, learn from, and ask specific questions to trading experts. The Traders Expo will take place at the Paris Las Vegas Hotel and Casino from October 14 to 16. During the event, NFA will be onsite in the exhibit hall. An eBooth is also available for anyone unable to attend the event. Complimentary registration for the Traders Expo Las Vegas is available on the Expo's website or by calling 800-970-4355.

Following the Traders Expo, NFA will be attending the 2015 AAII Investor Conference, located at Bally's Las Vegas Hotel and Casino from November 7 to 9. NFA is scheduled to host a presentation entitled, "Investor Protection: Tools and Resources" on November 8 from 9:00 to 10:15 a.m. The presentation will cover the risks involved with trading futures and off-exchange retail forex, how to conduct due diligence, and what questions to ask before opening an account.

NFA also will be in the exhibit hall. Register online for the 2015 AAII Investor Conference.

Attendees are welcome to stop by, ask questions, and pick up informational materials at both conferences.

NFA to speak on panels at FIA Expo 2015

The FIA Futures & Options Expo is celebrating its 31st year in 2015. The expo, which showcases products, services and information for market professionals and participants, will be held at the Hilton Chicago, located in Chicago, Ill., on November 4 and 5.

The annual expo offers a variety of sessions that allow attendees— ranging from business, operations and technology professionals to traders—to discuss industry trends; hear expert views on key issues; improve trading skills; and learn about new products, systems and practices. NFA staff members will appear on panels during the following sessions:

Wednesday, November 4, 2015

  • Yvette Christman, Vice President, Membership & Registration: "Registration from a Global Perspective: Who and what doesn’t have to be registered?"
  • Thomas Sexton, Senior Vice President, General Counsel and Secretary: "Cyber Threats: How is the industry responding?"

Thursday, November 5, 2015

  • Dan Roth, President & Chief Executive Officer: "Washington Outlook: In an election year, will Washington policymakers play it safe or shake things up?"
  • Ed Dasso, Vice President of Market Regulation: "Surveillance Workshop Part II: Practical Tips/Training the Traders"

In addition, NFA staff members will be on hand in the exhibit hall. Expo attendees are welcome to stop by to ask questions and pick up informational materials.

Registration information is available on the FIA Expo 2015 website.

Recent enforcement actions

In the third quarter of 2015, NFA issued Decisions, Member Responsibility Actions and Complaints against the following NFA Member firms and individuals. Click on the name for more detailed information.

Decisions in Disciplinary Cases
Accredited Investment Management Corp.
Amp Global Clearing LLC
Christopher T. Bondy
Peter G. Catranis
Daniel Lee Culp
DMFiala Ltd.
Stephen Edge
EdgeValencia LLC
Fox Financial Group LLC
Grace Financial Group LLC
Harmik Iranossian
Marcy F. Javor
Lei Li
Raja Michael Mawad
McElhannon Group Inc.
Primary Assets Management Corporation
RNS Holdings LP
Spencer Capital Management LLC
Joseph P. Valencia, Jr.
Washington Asset Advisors LLC
Wealth Creation Investments LLC

Amp Global Clearing LLC
Ansbacher Investment Management, Inc.
Daniel L. Culp
Jonathan Parker
Robert Hawkes Potter
Peter Gordon Scheffler
Spencer Capital Management LLC
George Francis Stafford
X-Change Financial Access LLC
YZ Investment Services LLC
Yanping Zhang

Member Responsibility Actions
Jonathan Parker

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