NFA's Logo
Home > Investor Information > Investor Newsletter > Investor Newsletter

NFA Investor Newsletter

NFA Investor Newsletter

Past Investor Newsletters


April 6, 2016
In this Issue:
Money Smart Week 2016 CFTC Launches New Website: The Whistleblower Program Resources for Recovering from Identity Theft Are You Investing With Registered Professionals? Recent enforcement actions

Money Smart Week 2016

This April, National Futures Association (NFA) is celebrating its 10th year of participation in the Federal Reserve Bank of Chicago's Money Smart Week, which runs from Saturday, April 23, 2016 through Saturday, April 30, 2016. This national initiative, which began in 2006, is dedicated to promoting financial literacy and education through events and workshops.

On Monday, April 25, NFA will join regulatory and enforcement agencies to participate in the Money Smart Week kick off during the Financial Regulators Fair in Chicago. At this event, participating organizations, including NFA, will distribute a wealth of information on financial protection, investing, banking and credit.

In addition, on Thursday, April 28, NFA will partner with AARP Illinois to host the workshop, "Avoiding Fraud is Your Best Money Strategy". NFA and AARP will provide information on how to avoid identity theft and investment fraud, and how to recognize the warning signs of fraud. Registration for this event is required. The registration deadline is Tuesday, April 26, 2016. Lunch will be served.

Monday, April 25, 2016

10:00 a.m. to 2:00 p.m.

Thursday, April 28, 2016

11:30 a.m. to 1:00 p.m.

Venue:

State of Illinois Building, Thompson Center

100 W. Randolph St.

Chicago, IL 60601

Directions

Venue:

AARP Illinois

222 N. LaSalle St., Suite 710

Chicago, IL 60601

Directions | Register


For additional investor education resources, visit NFA's Investor Information Publication Library or AARP's Consumer Protection page.



CFTC Launches New Website: The Whistleblower Program

The Commodity Futures Trading Commission (CFTC) recently launched The Whistle Blower Program, a new website that allows users to submit potential violations of the Commodity Exchange Act as well as apply for monetary awards.

The website offers online information regarding confidentiality and anti-retaliation protections for whistleblowers who share information with or assist the CFTC in the investigation process.

To read more about The Whistle Blower Program or whistleblower protection rights, visit The Whistleblower Program website.



Resources for Recovering from Identity Theft

The Federal Trade Commission (FTC) is a government organization dedicated to protecting US consumers from fraudulent, deceptive and unfair business practices. To further safeguard consumers, the FTC recently enhanced its online identity theft resources. These resources include:

  • IdentityTheft.gov, a newly redesigned website that provides consumers with free resources to provide a new level of personalization and assistance for victims of identity theft;
  • A PowerPoint presentation to show how IdentityTheft.gov makes it easier to report and recover from incidents of identity theft; and
  • A video tutorial to provide consumers with a step-by-step overview of the online recovery process.


Are You Investing With Registered Professionals?

Knowing the background status of industry professionals is extremely important when it comes to investing and protecting yourself and your money from fraudulent activity. Below are some resources to help you do just that.

"Before You Invest, Investor.gov," is a campaign recently developed by the Securities and Exchange Commission (SEC) to educate investors and protect them from various types of fraud. The SEC's Office of Investor Education and Advocacy (OIEA) developed the initiative to remind investors of the importance of working with registered professionals. Investor.gov provides potential investors with the resources needed to safeguard their money, conduct background checks, and review the registration status of industry professionals. In addition to these online resources, the SEC also shares investment tips and common scams to look out for in 2016.

Furthermore, NFA's Background Affiliation Status Information Center (BASIC) is a derivatives industry-wide resource that contains CFTC registration and NFA membership information, as well as regulatory and non-regulatory actions contributed by NFA, the CFTC and US exchanges. Adding BASIC to your list of tools will prove valuable in helping you understand the history of investing professionals in the derivatives industry.



Recent enforcement actions

In the first quarter of 2016, NFA issued Decisions and Complaints against the following NFA Member firms and individuals. Click on the name for more detailed information.

Decisions in Disciplinary Cases
Accusigma Corporation
CC Trading Company LLC
Christopher J. Craddock
Thomas G. Heneghan
Christopher M. Hogan
Hollencrest Securities
IBFX, Inc.
Tina Mozhayski
Amanda L. Murphy
Brent Park
Peter J. Pellizzon
Portfolio Managers, Inc.
TGI Capital Management Limited
Herbert L. Walton
Andrey A. Zhukov

Complaints
Accusigma Corporation
AK Financial Holdings, Inc.
Thomas C. Gasparini
John S. Karvelas
Andi Kim
Brent Park
Samico Worldwide Markets, Inc.
Vankar Trading Corp.


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 derivatives 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