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Details

ANTHONY PETER BROCCO NFA ID: 0309263

Current Status
NO CURRENT STATUS
Regulatory Actions
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NFA2
CFTC0
Exchanges0
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NFA Arbitration Decisions
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CFTC Reparations Cases
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History
 Status Effective Date
ADVANCED MARKETS LLC 
• PRINCIPAL WITHDRAWN 06/28/2013 
• NFA ASSOCIATE MEMBER WITHDRAWN 06/28/2013 
• ASSOCIATED PERSON WITHDRAWN 06/28/2013 
• FOREX ASSOCIATED PERSON WITHDRAWN 03/12/2013 
• FOREX ASSOCIATED PERSON APPROVED 10/05/2010 
• FOREX ASSOCIATED PERSON PENDING 09/28/2010 
• NFA ASSOCIATE MEMBER APPROVED 06/08/2006 
• ASSOCIATED PERSON REGISTERED 06/08/2006 
• PRINCIPAL APPROVED 04/05/2006 
• NFA ASSOCIATE MEMBER PENDING 04/05/2006 
• ASSOCIATED PERSON PENDING 04/05/2006 
FIRST AMERICAN INVESTMENT SVCS INC 
• ASSOCIATED PERSON WITHDRAWN 07/07/2003 
• NFA ASSOCIATE MEMBER WITHDRAWN 07/07/2003 
• ASSOCIATED PERSON REGISTERED 09/05/2002 
• NFA ASSOCIATE MEMBER APPROVED 09/05/2002 
FIRST LIBERTY INVESTMENT SERVICES INC 
• ASSOCIATED PERSON WITHDRAWN 09/22/2002 
• NFA ASSOCIATE MEMBER WITHDRAWN 09/22/2002 
• ASSOCIATED PERSON REGISTERED 11/16/2001 
• NFA ASSOCIATE MEMBER APPROVED 11/16/2001 
FUTURETECH TRADING GROUP INC 
• ASSOCIATED PERSON WITHDRAWN 03/10/2004 
• NFA ASSOCIATE MEMBER WITHDRAWN 03/10/2004 
• ASSOCIATED PERSON REGISTERED 11/21/2003 
• NFA ASSOCIATE MEMBER APPROVED 11/21/2003 
FUTURETECH VENTURE CAPITAL GROUP 
• NFA ASSOCIATE MEMBER WITHDRAWN 11/25/2003 
• ASSOCIATED PERSON WITHDRAWN 11/25/2003 
• ASSOCIATED PERSON REGISTERED 07/08/2003 
• NFA ASSOCIATE MEMBER APPROVED 07/08/2003 
• NFA ASSOCIATE MEMBER PENDING 07/07/2003 
• ASSOCIATED PERSON PENDING 07/07/2003 
NORTHEAST COMMODITIES CORP 
• ASSOCIATED PERSON PENDING STATUS WITHDRAWN 05/21/2001 
• NFA ASSOCIATE MEMBER WITHDRAWN 05/21/2001 
• NFA ASSOCIATE MEMBER APPROVED 04/12/2001 
• ASSOCIATED PERSON TEMPORARY LICENSE 04/12/2001 
PRESCOTT TRADING GROUP 
• ASSOCIATED PERSON WITHDRAWN 07/08/2003 
• NFA ASSOCIATE MEMBER WITHDRAWN 07/08/2003 
• ASSOCIATED PERSON REGISTERED 06/23/2003 
• NFA ASSOCIATE MEMBER APPROVED 06/23/2003 
UNITED GLOBAL MARKETS LLC 
• ASSOCIATED PERSON WITHDRAWN 06/19/2006 
• NFA ASSOCIATE MEMBER WITHDRAWN 06/19/2006 
• PRINCIPAL WITHDRAWN 06/19/2006 
• NFA ASSOCIATE MEMBER APPROVED 12/22/2003 
• ASSOCIATED PERSON REGISTERED 12/22/2003 
• PRINCIPAL APPROVED 12/22/2003 
• NFA ASSOCIATE MEMBER PENDING 12/04/2003 
• ASSOCIATED PERSON PENDING 11/25/2003 
• PRINCIPAL PENDING 11/25/2003 
UNITED INVESTORS GROUP 
• ASSOCIATED PERSON WITHDRAWN 11/27/2001 
• NFA ASSOCIATE MEMBER WITHDRAWN 11/27/2001 
• ASSOCIATED PERSON REGISTERED 06/18/2001 
• NFA ASSOCIATE MEMBER APPROVED 05/22/2001 
• ASSOCIATED PERSON TEMPORARY LICENSE 05/22/2001 
• ASSOCIATED PERSON PENDING 05/11/2001 
• NFA ASSOCIATE MEMBER PENDING 05/11/2001 
 
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