Investor Newsletter

September 28, 2017


National Cyber Security Awareness Month

October 2017 marks the 14th year of National Cyber Security Awareness Month (NCSAM). This initiative was created in an effort to ensure consumers have access to the resources necessary to stay secure online.

Cybersecurity is a growing concern worldwide. Throughout October the organizers of NCSAM will highlight a series of topics each week to inform consumers of resources and tools available, as well as simple steps that they can take to better protect themselves against cyber threats. Topics include:

  • October 2-6: STOP. THINK. CONNECT.™ — Simple Steps to Online Safety
  • October 9-13: Cybersecurity in the Workplace Is Everyone’s Business
  • October 16-20: Today’s Predictions for Tomorrow’s Internet
  • October 23-27: The Internet Wants You: Consider a Career in Cybersecurity
  • October 30-31: Protecting Critical Infrastructure From Cyber Threats

IOSCO's World Investor Week

Investor education is a worldwide initiative. NFA is pleased to announce its participation in the International Organization of Securities Commission's (IOSCO) first annual World Investor Week (WIW). WIW is a week-long, global campaign promoted by IOSCO to raise awareness about the importance of investor education and protection.

WIW takes place from Monday, October 2 through Sunday, October 8. IOSCO members on six continents will provide a range of activities, such as investor-focused services, educational workshops and conferences. NFA will conduct a free webinar entitled, Investor protection: A worldwide impact starts with you, on Thursday, October 5, 2017 at 11:00 a.m. CT/12:00 p.m. ET. NFA will be joined by representatives from the CFTC, SEC and FINRA, in an effort to educate investors on the Key Messages of WIW, which include: 

  • Verifying investment professionals are licensed;
  • Conducting research on products before investing;
  • Understanding the risks that exist in all investments; and
  • Avoiding "get rich quick" and "can't lose" schemes.

Upcoming Investor Conferences

NFA is dedicated to year-round investor protection and education initiatives. In addition to WIW, NFA will be exhibiting during the 2017 Traders Expo and the AAII Investor Conference.

The Traders Expo Las Vegas offers industry professionals the opportunity to meet with, learn from, and discuss questions with trading experts. The Traders Expo will take place at the Bally's/Paris Resort from Thursday, November 2 through Saturday, November 4 in Las Vegas, Nevada. During the event, NFA will be onsite in the exhibit hall at booth #217. An eBooth will also be available after the event for anyone unable to attend.

In addition, NFA will exhibit during the 2017 AAII Investor Conference taking place Friday, November 3 through Sunday, November 5 at the Lowes Royal Pacific Resort in Orlando, Florida. This conference provides investors with the opportunity to fine-tune strategies and concepts from a number of industry professionals.

NFA will present Avoiding Fraud Is Your Best Money Strategy on Sunday, November 3. NFA will provide attendees with tools to help them conduct due diligence, identify warning signs of investment fraud, and learn the warning signs of scams.


Investor Survey

Feedback requested for NFA's Background Affiliation Status Information Center tool

NFA is embarking on a redesign of its Background Affiliation Status Information Center (BASIC), a tool that allows the public to research the background of firms and professionals in the derivatives industry. If you have ever used BASIC, please take a few minutes to offer feedback on how BASIC could better suit your needs as an investor.


Recent Enforcement Actions

In the first quarter of 2017, NFA issued Decisions, Complaints and Final Orders against the following NFA Member firms and individuals. Click on the name for more detailed information.

Decisions in Disciplinary Cases
Ronald T. Barba
The Barbashop LLC
Thomas Gasparini
Joshua Matthew Lewis
Kingsview Future LLC
Christian Robert Mayer
Northstar Commodity Investment Co. LLC
Samico Worldwide Markets LLC

Complaints
BCD Forex Investments LLC
Ethan Mitchell LLC
Fortune Trading Group, Inc.
Michael Patrick Higgins
Ironbeam, Inc. 
Christopher Marsh
Christian Robert Mayer
Brian Alan Mitchell 
Northstar Commodity Investment Co. LLC
Jonathan Schuler

Final Orders in Registration Cases
Sean M. Moore
Laconte A. Turner