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Daniel Minich

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/06/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel Minich (CRD No. 6465746), Respondent. Disciplinary Proceeding No. 2020066999801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1.Between June 2019 and October 2019 (the “Relevant Period”), while associated with Ameriprise Financial Services, LLC (CRD No. 6363) (“Ameriprise” or the “Firm”), Respondent Daniel Minich (“Minich”) participated in three private securities transactions totaling approximately $200,000 without providing prior written notice to Ameriprise.

    Reference 2020066999801data-portal.finra.orgfinra.org

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