Investor Newsletter

January 22, 2016

National Consumer Protection Week: March 6 to 12, 2016

National Futures Association is proud to once again participate as part of the steering committee during the 2016 National Consumer Protection Week (NCPW), taking place March 6 to 12. NCPW promotes the importance of consumer education.

Steering committee members, partners and local organizations are gearing up to provide a wealth of information to consumers related to identity theft and privacy protection, smart investing techniques, and how to avoid scams, among other topics. Resources from NFA and other partners are available on the NCPW website.

Avoid financial pitfalls by following these tips from FINRA's Alert Investor

"The Alert Investor", an online magazine sponsored by the Financial Industry Regulatory Authority (FINRA), shares the importance of making sound financial decisions and avoiding financial pitfalls in the article, "8 Smart Ways to Handle a Financial Windfall".

In this article, Phyllis Furman shares eight steps investors of all ages can take if they come into a sizeable sum of money, including tackling debts, organizing current finances and avoiding potential scammers. Find the complete list of steps online.

Money Smart in 2016

This year, National Futures Association (NFA) will be celebrating its 10th year of participation in the Federal Reserve Bank of Chicago's Money Smart Week. NFA has participated in more than 15 Money Smart Week events since first joining the initiative in 2006.

The week-long program—which runs from Saturday, April 23 until Saturday, April 30, 2016—is a national effort dedicated to promoting financial literacy and education. Events and workshops will focus on topics such as:

  • Identity Theft
  • Investment & Financial Fraud Scams
  • Investing & Wealth Building
  • Retirement Planning
  • Credit & Debt Management

For more information about NFA's participation in Money Smart Week, look out for the upcoming edition of NFA's Investor Newsletter in April.

Visit NFA at Traders Expo New York

This year, The Traders Expo New York will be taking place at the New York Marriot Marquis Times Square from Sunday, February 21 to Tuesday, February 23.

The Traders Expo offers industry professionals an opportunity to meet with, learn from, and ask specific questions to trading experts from around the world.

NFA will be located at booth #5300.

Attendees are welcome to stop by, ask questions, and pick up informational materials.

For complimentary registration to The Traders Expo New York, call 800-970-4355 or register online.

Recent enforcement actions

In the fourth quarter of 2015, 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
Ansbacher Investment Management, Inc.
Chazon QTA Quantitative Trading Artists LLC
Lawrence Ikem Fejokwu
Nord Capital Advisors LLC
Jonathan Parker
Robert Hawkes Potter
Peter Gordon Scheffler
Yakov Shlyapochnik
George Francis Stafford
Philip Mack Worley
X-Change Financial Access LLC
YZ Investment Services LLC
Yanping Zhang

Thomas G. Heneghan
Christopher M. Hogan
Hollencrest Securities LLC d/b/a Hollencrest Capital Management
Amanda L. Murphy
Nord Capital Advisors LLC
Peter J. Pellizzon
Portfolio Managers, Inc.
Yakov Shlyapochnik
TGI Capital Management Limited
Herbert L. Walton
Andrew A. Zhukov