JASON CHARLES MIDGLEY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/07/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Jason Charles Midgley General Securities Representative CRD No. 4623081 Respondent Disciplinary Proceeding No. 2005002411701 Hearing Officer: AWH ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 6, 2007 INTRODUCTION Disciplinary Proceeding No. 2005002411701 was filed on November 27, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Jason Charles Midgley submitted an Offer of Settlement ("Offer") to
11/27/2006: NASD Office of Hearing Officers Department of Enforcement, Complainant v. Jason Charles Midgley General Securities Representative CRD No. 4623801 Respondents Disciplinary Proceeding No. 2005002411701 COMPLAINT The Department of Enforcement alleges: 1. Respondent Jason Charles Midgley entered the securities industry in August 2003 as a General Securities Representative with member firm Continental Broker-Dealer Corp. From August 2003 to May 2004, he registered serially with three different NASD member firms.
Reference 2005002411701data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4623081

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