Investor Newsletter

January 18, 2017

SEC's Investor Bulletin: 10 investment tips for 2017

This content was written and provided by the US Securities and Exchange Commission's Office of Investor Education and Advocacy.

Whether you are a first-time investor or have been investing for years, here are 10 tips from the SEC's Office of Investor Education and Advocacy to help you make better informed investment decisions and avoid common scams in 2017.

  1. Always check the background of an investment professional.
  2. Promises of high returns with little or no risk are classic warning signs of fraud.
  3. Be careful when using social media as an investment tool.
  4. It can be costly to ignore fees associated with buying, owning, and selling an investment product.
  5. Be alert to affinity fraud.

Read the remaining tips for 2017.

January 28: Data Privacy Day

On Saturday, January 28, 2017, the annual National Cyber Security Alliance (NSCA) will observe Data Privacy Day, an international effort to create awareness of the importance of respecting privacy, safeguarding data and enabling trust. NCSA's privacy awareness campaign is part of the global online safety, security and privacy campaign STOP. THINK. CONNECT. This campaign was formed in an effort to help all digital citizens stay safer and more secure online.

On Data Privacy Day, a number of events will be available for consumers, including Twitter Chats, webinars, and in-person meetings.

Read the Data Privacy Day 2017 Media Backgrounder for more information and history.

NFA exhibiting at Traders Expo New York

This year, The Traders Expo New York will take place from Sunday, February 26 to Tuesday, February 28, 2017 at the New York Marriot Marquis Times Square.

The Traders Expo offers industry professionals an opportunity to meet with, learn from, and ask specific questions to trading experts from around the world. During the expo, NFA will be offering educational resources for investors.

Attendees are welcome to stop by NFA's booth (#508), ask questions, and pick up informational materials.

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

National Consumer Protection Week 2017

NFA is proud to once again participate on the steering committee for the 2017 National Consumer Protection Week (NCPW), taking place March 5 through March 11, 2017. NCPW is a week dedicated to helping consumers understand their rights and make well-informed financial decisions.

NFA is dedicated to protecting the investing public year-round and NCPW is just one week out of the year that further emphasizes the importance of privacy protection, smart investing techniques, and how to avoid scams. Want to learn more? See resources from NFA and other NCPW partners and check back for updates on how to get involved in NCPW.

Money Smart in 2017

2017 marks the 11th year NFA will participate in the Federal Reserve Bank of Chicago's Money Smart Week (MSW). Since first joining the initiative in 2006, NFA has participated in 17 MSW events.

The week-long program—which runs from Saturday, April 22 until Saturday, April 29, 2017—is a national effort dedicated to promoting financial literacy and education. In 2016, MSW offered more than 5,400 events to over 174,000 attendees across the United States. This year, MSW events and workshops will focus on topics such as:

  • Identity theft
  • Investment and financial fraud scams
  • Investing and wealth building
  • Retirement planning
  • Credit and debt management

For more information about 2017 Money Smart Week events, including those in which NFA is participating, look out for the upcoming edition of NFA's Investor Newsletter in April.

Recent enforcement actions

In the fourth quarter of 2016, 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
Avail Trading Corp.
The Cambridge Strategy Asset Management Limited
Dendrich LTD
Macro Risk Advisors LLC
David Manoukian
OKC Trading LLC
Vincent Capital Group LLC
Gong Wu

Ashley Capital Management Incorporated
Ronald T. Barba
The Barbashop LLC
Hansa Capital Management LLC
Kingsview Futures LLC
Joshua M. Lewis
OKC Trading LLC
Michael P. Pacult
Lothar Ruehling
Noel H. Sinclair

Final Orders in Registration Cases
TGI Capital Management Limited