The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Daniel Minich [CRD#: 6465746, Bradford, PA]. Minich worked for Ameriprise Financial Services from 2015-2020.
Notably, FINRA sanctioned the securities broker for selling away. However, Minich denies the allegations. Read on to learn more about the allegations against Minich.
Evidently, on August 16, 2022, FINRA issued Minich a fine in the amount of $5,000 and suspended the securities broker for four months. Specifically, Minich participated in private securities transactions.
From June 2019 to October 2019, Minich engaged in three private securities transactions without getting prior written approval from his employer. Supposedly, Minich also gave false statements regarding those securities transactions on Ameriprise's annual attestation. As a result, Minich violated FINRA Rules.
Did you sustain damages through any sales practice violations by Daniel Minich? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment damages. Soreide Law Group, who has successfully recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. Minich and brokerage firms Minich associated with deny any and all allegations of sales practice violations.
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