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NFA Investor Newsletter

October 27 , 2011

In this Issue: National Cyber Security Awareness Month Protect Elder Americans National Call-in Money Smart Week National Facebook Investor Conferences

October is National Cyber Security Awareness Month

October is National Cyber Security Awareness Month and the National Consumers League (NCL) wants to remind you to protect yourself from Internet-based fraud. NCL's Fraud Center tracks the frauds most commonly affecting consumers, and in the first nine months of 2011, fraudulent Internet merchandise sales top the list.

"Whether it's Halloween or any other time of year, consumers expect to be able to use their computers with confidence that they're not going to be scammed," said John Breyault, Director of NCL's Fraud Center. "But in order to do so, they must be informed about and protected against the sneak attacks fraudsters use to capture sensitive personal information. During National Cyber Security Awareness Month and year-round, consumers should endeavor to keep better control of their computers and their privacy."

For more information on how to avoid being a victim of cyber fraud, visit NCL's website.



National Call-in scheduled for November 10 to help protect elder Americans

On Thursday, November 10, individuals will have the opportunity to get advice from financial planning, health care and adult protective services professionals through a toll-free nationwide call-in service. Coordinated by Kiplinger's Personal Finance magazine, in collaboration with several national organizations, the event is designed to offer "free advice and guidance on how to protect yourself and your loved ones against investment swindles and financial abuse". The National Call-in will run from 9:00 a.m. to 6:00 p.m. Eastern time.

For general finance questions, call 888-227-1776 to speak with an expert from the Financial Planning Association (FPA). An FPA professional will answer questions, as well as provide information on a variety of topics, including how to start a conversation about money with adult children or older parents to help prevent elder investment fraud and financial exploitation.

For medical questions, call 888-303-0430 to speak with a health care professional about medical issues such as mild cognitive impairment (MCI) that can impact an older person's ability to make wise and safe financial decisions.

For financial abuse questions, call 888-303-3297 to speak with an adult protective services (APS) professional about elder financial abuse and strategies for keeping yourself and your older loved ones independent.

For additional information on how to protect seniors from financial abuse, visit the website of the Elder Investment Fraud and Financial Exploitation Prevention Program.



Money Smart Week's Facebook page offers many investor education resources

Many people are familiar with Money Smart Week, an annual event held in Chicago and other cities, sponsored by the Federal Reserve Bank of Chicago. But did you also know that Money Smart Week has a Facebook page that features events throughout the year? The page, entitled Money Smart Week National, lists upcoming events being held throughout the United States, as well as links to articles and videos related to financial literacy.

Current posts include an announcement regarding a presentation by author Susan L. Hirshman titled "The Financial Diet" to be held on Friday October 28 at the Carmel Clay Public Library in Carmel, Indiana, and a link to AARP's Social Security Benefits Calculator.

NFA to participate in two investor education conferences in November

NFA will be participating in two investor education conferences in November. NFA staff will be at the 27th Investor Conference sponsored by the American Association of Individual Investors (AAII) on November 10-12. In addition to giving a presentation titled "Diversifying Your Portfolio with Managed Futures and Forex: What Investors Need to Know", NFA will sponsor an information booth where staff members will distribute educational materials and answer questions.

More than 1,200 individuals have registered to attend the conference, which is being held at the conference center of the Cosmopolitan Hotel in Las Vegas. For more information, visit AAII's website.

NFA will also sponsor an information booth at the Traders Expo being held at Bally's Conference Center in Las Vegas on November 16-19. NFA staff will distribute copies of NFA's investor education materials and answer questions from expo attendees.

The Expo offers educational seminars and workshops as well as an exhibit hall featuring futures commission merchants, retail foreign exchange dealers, trading software providers, futures and options exchanges and other vendors. In previous years, the Expo has attracted more than 3,000 traders. For more information visit the Expo's website.



Recent Enforcement Actions

In the third 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
Julio C. Aquino
California Capital Trading Group LLC
Capital Market Services LLC
Marek D. Chelkowski
Lee S. Chung
Christian G. Colin
Philip A. Day
Alakesh P. Dholakia
FG Capital LLC
Boris M. Fomin
Forex Capital Markets LLC
Paul Gomez
Robert F. Gray
Thierry J. Hennequin
Jeffrey B. Jenkins
Kevin E. Koy
Jason L. Lovely
Midwest Futures Inc.
New Era Futures
Dror Niv
Edgar I. Paredes
Philip J. Silverman
Dan E. Stamer
Statewide FX, Inc.
Erick E. Ware
William N. Zechmann

Member Responsibility Actions
IFINIX Futures Inc.
SureInvestment, LLC
Crosby Wood

Final Orders in Registration Cases
Scott Bobrow

Complaints
CC Trading Company LLC
Christopher J. Craddock
Dominique M. Da'Cruz
Fin Fx LLC
Forex Capital Markets LLC
Mark B. Katzenberger
Mohr & Moore LLC
William E. Moore
Dror Niv
Strategic Futures Management Inc.
Trade Dock Capital LLC
Leon L. Wolmarans


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