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NFA Investor Newsletter

NFA Investor Newsletter

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January 10, 2007
In this Issue: Welcome to NFA's Newsletter Swindlers Are (Still) Calling Resolve to Save and Invest in 2007

Welcome to NFA's Investor Newsletter

Welcome to the inaugural edition of National Futures Association's Investor Newsletter. As the industrywide self-regulatory organization for the U.S. futures industry, NFA is committed to maintaining the integrity of the futures markets and protecting investors. (Click here to learn more about NFA.)

We believe that investor protection begins with investor education. To that end, we have produced several publications, all of which are available in the Investor Learning Center section of NFA's Web site.

This newsletter, which will be published quarterly, will contain topical information on investing in futures, options on futures and retail off-exchange foreign currency (forex) contracts. We will also highlight steps you can take to avoid becoming a victim of financial fraud. In addition, you will find links to other investor education resources. We hope you find this newsletter informative and useful.

Swindlers Are (Still) Calling

More than 10 years ago, NFA published a brochure entitled "The Swindlers Are Calling" to give individuals information and assistance in helping them avoid becoming a victim of telemarketing fraud. Unfortunately, telemarketing fraud is still being perpetrated on many people and the advice contained in our brochure is as relevant now as it was in 1994. Additionally, with the advent of fraudulent sales solicitations through e-mail, the advice is doubly important.

For example, don't be pushed into a quick decision. Never make any investment or purchase you don't fully understand and never provide personal financial information over the telephone or in an email until you have conducted a thorough background check of the firm or individual.

You can download a free copy of "The Swindlers are Calling" from NFA's Web site or request a paper copy by calling NFA's Information Center toll-free at (800) 621-3570.

Resolve to Save and Invest in 2007

The Alliance for Investor Education (AIE) has highlighted NFA's publication "Opportunity and Risk: An Educational Guide to Trading Futures and Options on Futures" as one of the 11 best available investor education resources. AIE is a 22-member organization of the United States' leading financial-related trade associations and governmental organizations.

For a complete list of the investor education resources cited by AIE, visit the new "Resolve to Save & Invest in 2007" section of the AIE Web site.

Recent Enforcement Actions

In the fourth quarter of 2006, NFA's Business Conduct Comittee issued Decisions and Member Responsibility Actions against the following NFA Member firms and individuals. Click on the name for more detailed information.

Decisions in Disciplinary Cases
James P. Cagnina
Capital Market Services LLC
Catalyst Capital Group
Dalton Investments LLC
Joaneen Davis
Russell J. Diaz
James V. Eulo
Financial Risk Investments
FutureTech Trading Group, Inc. et al.
Stephanie A. Gallitano
HW Associates, Inc.
Infinity Futures, Inc. IL
Jimi R. Jalil
Carmina D. Katsaitis
John C. Loiacono
John Matthews
Robert W. Meddoff
Adam S. Mills
Mint Money Management LLC
James P. Mooney
Gustavo Sala
Steven J. Shore
Spencer Financial LLC
Michael F. Staryk, III
Ronald H. Weksler
Weston Capital Management LLC
Richard A. Williams
Harry H. Wise

Member Responsibility Actions
Spot FX Clearing Corp.

Links to NFA

NFA Investor Learning Center

Background Affiliation Status Information Center (BASIC)

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Past Investor Newsletters

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