|

May 30, 2012

Attention Vision Financial Markets Investors

business man holding his head with text asking questions about stock broker misconduct

Soreide Law Group, PLLC, has been contacted recently by several clients that have complained of a high level of trading activity by Vision Financial Markets.Vision Financial Markets, a futures commission merchant (FCM) and introducing broker (IB), is registered with the NFA. Vision Financial Markets is a Futures Commission Merchant and Commodity Pool Operator with headquarters in New York City and branch offices in Chicago, Illinois and Stamford, Connecticut.

In May, 2011, the National Futures Association (NFA) levied a fine of $500,000 against Vision. The decision, issued by NFA's Business Conduct Committee, is based on a Complaint filed in May, 2011 against Vision and its president and senior vice president, Howard M. Rothman and Michael P. Doherty, respectively and a settlement offer submitted by them.Last year the committee found that Vision, Rothman and Doherty failed to diligently supervise five of Vision's Guaranteed Introducing Brokers (GIBs): 20/20 Trading Company, Statewide FX, Inc., Vista Trading Advisors, Inc., Investors Trading Institute, and Direct Futures LLC.

In 2010, NFA Complaints against these GIBs included allegations of recommending trades that maximized commissions without regard for the best interest of their customers, making deceptive sales solicitations and using deceptive promotional materials.

Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, has represented clients nationwide.

For a free consultation with an attorney, please call 888-760-6552, or visit our website at: https://www.securitieslawyer.com.

Contact us

S H A R E T H I S P O S T

Recent Posts

August 30, 2026

Matthew Carbray Connected To Kestra Investor Arbitration Claim Regarding Unsuitable Advice

Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]

August 30, 2026

Juan Benavides Linked To Merrill Lynch Investor Complaint Regarding Failure To Execute

Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]

August 30, 2026

Sandy Leff Involved In Carter Terry Company Inc. Investor Complaint Regarding Unsuitable Advice

Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]

Contact us Nationwide USA

2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062

Phone: 1-888-760-6552
Fax: 1-954-760-6553
Email: info@securitieslawyer.com

Helping clients recover money across the USA