MICHAEL MINGHENELLI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/15/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Royce Minghenelli (CRD No. 6067409), Respondent. DISCIPLINARY PROCEEDING No. 2017053549901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 2016 to February 2017 (the "Relevant Period"), Michael Royce Minghenelli ("Minghenelli" or "Respondent"), while registered with Merrill Lynch, Pierce, Fenner & Smith
11/05/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL ROYCE MINGHENELLI (CRD No. 6067409), Respondent. Disciplinary Proceeding No. 2017053549901 Hearing Officer-RES DEFAULT DECISION November 5, 2019 For conversion of funds and failure to provide documents and information despite six FINRA Rule 8210 requests, Respondent is barred from associating
Reference 2017053549901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6067409 |
Other names1
Also known as1
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.