Daniel T. Minich

08/16/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel T. Minich CRD No. 6465746, Respondent Disciplinary Proceeding No. 2020066999801 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Corrected Version Date: August 16, 2022 INTRODUCTION Disciplinary Proceeding No. 2020066999801 was filed on June 6, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Daniel Minich submitted an Offer of Settlement (Offer) to Complainant dated August 10, 2022. Pursuant to FINRA Rule 9270(e), the Complainant and the National Adjudicatory Council (NAC), a Review Subcommittee of the NAC, or the Office of Disciplinary Affairs (ODA) have accepted the uncontested Offer. Accordingly, this Order now is issued pursuant to FINRA Rule 9270(e)(3). The findings, conclusions and sanctions set forth in this Order are those stated in the Offer as accepted by the Complainant and approved by the NAC.

Reference 2020066999801data-portal.finra.orgfinra.org