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NFA Investor Newsletter

July 14, 2009
In this Issue: Redesigned Website Forex and Options Trading Expo Recessionary Survival Tips

NFA launches redesigned website with expanded investor education resources

On June 29, NFA launched a redesigned website (www.nfa.futures.org) that contains several new features, including an expanded investor education section. Investors can now access information on Investor Best Practices and Identity Theft.

"Redesigning the website gave us an excellent opportunity to assess our investor information section and determine what additional resources we could offer," said NFA's Director of Communications and Education Larry Dyekman. "We believe that investors should have easy access to a wide variety of financial information, especially during these difficult economic times."

In addition to new sections on investor best practices and identity theft, NFA has added a webcast to help individuals avoid becoming a victim of investment fraud. NFA President Dan Roth discusses the common characteristics of an investment scam, different types of investment swindles and what investors can do to help protect them from investment fraud. "Don't Become a Victim of Investment Fraud" is a streaming video presentation offered on NFA's website free of charge.

NFA Compliance Director to participate in panel discussion at upcoming Forex and Options Trading Expo

Compliance Director Sharon Pendleton will participate in a panel discussion entitled, "The Questions You Need to Ask Your Broker before Opening a Forex Account" at the Forex and Options Trading Expo, scheduled on August 2 through 4 in Las Vegas. Joining Sharon on the panel will be a representative from the Commodity Futures Trading Commission and Tim Bourquin, co-founder of the Traders Expo and the Forex Trading Expo.

NFA will also sponsor an information booth in the exhibit hall, where staff will distribute forex education brochures and discuss how to conduct online background checks of forex firms and brokers.

"Investors attending the Expo spend a lot of time learning forex trading strategies," says Larry Dyekman, director of Communications and Education at NFA. "We give them the opportunity to spend an equal amount of time learning about the risks involved in trading forex and the firms who are vying for their money."

The Forex and Options Trading Expo will be held at Caesar's Palace, and admission is free. For more information on the expo, visit the expo's website.


AICPA offers recessionary survival tips

The current recession has affected all Americans in some way or another, and we are all looking for answers to our financial questions. The American Institute of Certified Public Accounts (AICPA) has put together a list of resources called recessionary survival tips, including how to cope with job loss, paying for college, saving, investing, funding for retirement and home buying and foreclosure. These recessionary survival tips can be accessed through AICPA's 360 Degrees of Financial Literacy website.


Recent Enforcement Actions

In the second quarter of 2009, NFA's Business Conduct Committee issued Decisions, Member Responsibility Actions and Final Orders in Registration Cases against the following NFA Member firms and individuals. Click on the name for more detailed information.

Decisions in Disciplinary Cases
Coastline Trading Group LLC
Ricardo Garcia, Jr.
Michael W. Greenberg
I Trade FX LLC
Lake Shore Asset Management Limited
Isaac Martinez
Michael P. Melikian
SNC Investments Inc.
Member Responsibility Actions
David P. Fearis
Ronald L. Larson
M25 Investments, Inc.
M37 Investments LLC
Strongbow Investments GP LLC
Final Orders in Registration Cases
Michael S. Clark
Alexander Delgado
Patrick Devarso
Scott M. Henderson
Mary W.S. Hughes
Kevin O'Grady
Brian L. Scott
Stuart R. Smith

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