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Regulatory Actions

MIDLAND EURO INC NFA ID: 0202319

This page includes information regarding the Case History of these matters concerning the person or firm you are researching. It may also include the Outcome if the cases have been resolved regarding this person or firm.
Just like in all legal proceedings, when regulatory actions are resolved, it is almost always by settlement, not adjudication. A settlement may result in the imposition of a penalty without a determination of the merits of the charges or formal findings of wrongdoing. If the particular matter you are interested in has been resolved, please refer to the Narrative, and for certain NFA cases, the decision as provided in the Case Documents summary, to see whether it was adjudicated or settled.

ContributorCase #Action TypeEffective DateCase Outcome
NFA 01MRA00002 • NFA GENERAL DISCIPLINARY ACTION
10/31/2001 • APPEAL DISMISSED
• ON APPEAL - CFTC
• OTHER--SEE NARRATIVE
• SUSPENDED FROM MEMBERSHIP
• MEMBER RESPONSIBILITY ACTION
NFA 01BCC00018 • FINANCIAL
• OFFICE RECORDKEEPING
• GENERAL CONDUCT
04/18/2003 • TEMPORARY BAR FROM NFA MEMBERSHIP 5 YRS
• FINE (JOINTLY AND SEVERALLY) $150000
• AFFIRMED ON APPEAL - APPEALS COMMITTEE
• ON APPEAL - NFA APPEALS COMMITTEE
• PENALTY STAYED - ON APPEAL
CFTC SD 02-01 • CFTC ADMINISTRATIVE ACTION
11/16/2001
 
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