Investor Newsletter
May 14, 2026
Investor Education
NFA in Focus Video Series and New About NFA Brochure
NFA President and CEO Tom Sexton provides an overview of the self-regulatory model and NFA's unique role as the sole registered futures association for the U.S. derivatives industry in the first installment of the NFA in Focus video series. This series will feature leaders from across the organization as they explain NFA's role and core functions. Subscribe to NFA’s YouTube channel to stay up to date on the latest installments.
NFA also recently published an About NFA brochure, which provides additional information regarding the organization, its critical role and resources it provides to investors.
Investor Protection Principles
No matter how legitimate an investment opportunity or communication may seem, starting with skepticism is always a good idea. NFA's LinkedIn post highlights three principles to keep in mind when presented with any investment-related opportunity or communication.
Follow NFA's LinkedIn account for more investor protection resources and NFA news.
Investor Protection
CFTC Learning Resources: Prediction Markets
Prediction markets trade contracts based on future outcomes, permitting traders to hedge or forecast future events. The CFTC's "Prediction Markets: You've got Options" fact sheet covers the unique features and protections of and best practices for participating in prediction markets.
Information courtesy of the CFTC
FINRA Investor Insights: Customer Account Takeovers
Account takeovers involve using deception to gain access to someone's online accounts, which can result in unauthorized funds transfers. FINRA's Investor Insights explains what customer account takeovers are, how they happen, how to safeguard against them and what to do in the case of a breach.
Information courtesy of FINRA
FTC Consumer Alerts: Investment Scams
Investment scams take advantage of investors' desire to secure big returns from their investments. These scams can be highly effective. FTC data shows that investors lost nearly $8 billion to investment scams in 2025. Read the FTC's Consumer Alert to learn how to spot and avoid investment scams.
Information courtesy of the FTC
Recent Enforcement Actions
Complaints
- Dmfiala LTD, David Michael Fiala and Michael R. Hack
- Julian Francis Rundle
- Hardee Brothers LLC and Sidney Curtis Hardee
Decisions
- Spartan Asset Group LLC and John Robert Perry
- Commodity Asset Management LLC and Jonathan Mark Tulkoff
- Dorset Fund Management LLC and Michael Dubin
- Metanoeo Capital LLC and Joshua David Schuler
Informed Investor Tip
Before working with a new firm, check to confirm in NFA’s BASIC system whether the firm is an NFA Member (and, thus, is regulated by NFA) and has been subject to any disciplinary actions.