NFA Investor Newsletter

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

 

NFA Investor Newsletter

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)

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

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