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Details

HOWARD MARTIN ROTHMAN NFA ID: 0178238

Current Status
• FLOOR BROKER REGISTERED 
HIGH RIDGE FUTURES LLC 
• ASSOCIATED PERSON REGISTERED 
• NFA ASSOCIATE MEMBER APPROVED 
• PRINCIPAL APPROVED 
VISION INVESTMENT ADVISORS LLC 
• ASSOCIATED PERSON REGISTERED 
• PRINCIPAL APPROVED 
Trading Privileges
• GRANTED AT CHICAGO BOARD OF TRADE
• GRANTED AT CHICAGO MERCANTILE EXCHANGE
Regulatory Actions
 AgencyNumber
NFA1
CFTC0
Exchanges0
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NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent1
details...
 
CFTC Reparations Cases
Total4
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History
 Status Effective Date
• FLOOR BROKER REGISTERED09/04/2014 
• FLOOR BROKER PENDING09/02/2014 
FIRST NATIONAL TRADING CORPORATION 
• ASSOCIATED PERSON WITHDRAWN 05/30/1984 
HIGH RIDGE FUTURES LLC 
• ASSOCIATED PERSON REGISTERED 11/28/2014 
• NFA ASSOCIATE MEMBER APPROVED 11/28/2014 
• PRINCIPAL APPROVED 10/03/2014 
ROTHMAN BARRY & ASSOCIATES 
• PRINCIPAL WITHDRAWN 10/17/1983 
VISION BROKERAGE SERVICES LLC 
• ASSOCIATED PERSON WITHDRAWN 04/01/2011 
• NFA ASSOCIATE MEMBER WITHDRAWN 04/01/2011 
• PRINCIPAL WITHDRAWN 04/01/2011 
• NFA ASSOCIATE MEMBER APPROVED 03/27/2009 
• ASSOCIATED PERSON REGISTERED 03/27/2009 
• PRINCIPAL APPROVED 03/27/2009 
• NFA ASSOCIATE MEMBER PENDING 03/27/2009 
• ASSOCIATED PERSON PENDING 03/27/2009 
• PRINCIPAL WITHDRAWN 05/16/2004 
• NFA ASSOCIATE MEMBER WITHDRAWN 05/16/2004 
• ASSOCIATED PERSON WITHDRAWN 05/16/2004 
• PRINCIPAL APPROVED 03/13/2003 
• NFA ASSOCIATE MEMBER APPROVED 03/13/2003 
• ASSOCIATED PERSON REGISTERED 03/13/2003 
• PRINCIPAL PENDING 03/03/2003 
• ASSOCIATED PERSON PENDING 03/03/2003 
• NFA ASSOCIATE MEMBER PENDING 03/03/2003 
VISION FINANCIAL MARKETS LLC 
• ASSOCIATED PERSON WITHDRAWN 03/04/2015 
• NFA ASSOCIATE MEMBER WITHDRAWN 03/04/2015 
• PRINCIPAL WITHDRAWN 03/04/2015 
• PRINCIPAL ENDED WITH VISION CAPITAL MANAGEMENT INC10/23/2001 
• PRINCIPAL COMPLETE WITH VISION CAPITAL MANAGEMENT INC10/02/1992 
• ASSOCIATED PERSON REGISTERED 02/01/1988 
• NFA ASSOCIATE MEMBER APPROVED 02/01/1988 
• PRINCIPAL APPROVED 02/01/1988 
• PRINCIPAL PENDING 01/29/1988 
VISION INVESTMENT ADVISORS LLC 
• ASSOCIATED PERSON REGISTERED 04/10/2002 
• PRINCIPAL APPROVED 04/10/2002 
• ASSOCIATED PERSON PENDING 03/18/2002 
• PRINCIPAL PENDING 03/18/2002 
VISION TRADING RESOURCES INC 
• ASSOCIATED PERSON WITHDRAWN 06/16/1999 
• NFA ASSOCIATE MEMBER WITHDRAWN 06/16/1999 
• PRINCIPAL WITHDRAWN 06/16/1999 
• ASSOCIATED PERSON REGISTERED 04/24/1995 
• NFA ASSOCIATE MEMBER APPROVED 04/24/1995 
• PRINCIPAL APPROVED 04/24/1995 
• ASSOCIATED PERSON PENDING 04/04/1995 
• NFA ASSOCIATE MEMBER PENDING 04/04/1995 
• PRINCIPAL PENDING 04/04/1995 
WHITEHALL INVESTMENT MANAGEMENT INC 
• ASSOCIATED PERSON WITHDRAWN 03/31/2011 
• NFA ASSOCIATE MEMBER WITHDRAWN 03/31/2011 
• PRINCIPAL WITHDRAWN 03/31/2011 
• ASSOCIATED PERSON REGISTERED 07/15/1998 
• NFA ASSOCIATE MEMBER APPROVED 07/15/1998 
• ASSOCIATED PERSON WITHDRAWN 05/16/1990 
• NFA ASSOCIATE MEMBER WITHDRAWN 05/16/1990 
• PRINCIPAL APPROVED 11/16/1988 
• NFA ASSOCIATE MEMBER APPROVED 08/01/1985 
• ASSOCIATED PERSON REGISTERED 07/15/1985 
• ASSOCIATED PERSON TEMPORARY LICENSE 02/15/1985 
 
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