JOHN DANIEL MINERVA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/30/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9B050043 TO: Department of Enforcement NASD RE: John Daniel Minerva, Respondent CRD No. 2702468 Pursuant to Rule 9216 of NASD Code of Procedure, John Daniel Minerva ("Minerva" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions
Reference C9B20050043data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2702468 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.