COMPLAINTS Against DANIEL MINICH of Ameriprise Financial

Israels & Neuman, PLC

Daniel Minich, Formerly with Ameriprise Financial Services, Subject of FINRA Complaint

BRADFORD, PENNSYLVANIA

Have you lost money investing with advisor Daniel Minich from Bradford, Pennsylvania? Our investment fraud law firm is reviewing allegations made about Daniel Minich. FINRA (the Financial Industry Regulatory Authority) seeks to punish Minich.

According to FINRA’s regulatory complaint, Minich solicited two investors of his former brokerage firm, Ameriprise Financial Services, to invest in a cryptocurrency hedge fund. The investors made a combined $150,000 investment in the cryptocurrency hedge fund. Minich allegedly did not disclose these sales to Ameriprise, which is required pursuant to FINRA Rule 3280.

Daniel T. Minich had been an advisor with Ameriprise Financial Services from May 2015 to June 2020. Minich worked at a Bradford, Pennsylvania office.

FINRA rules provide that securities brokerage firms like Ameriprise have an obligation to adequately supervise their financial advisors like Daniel Minich. If the firm fails to adequately supervise their representatives, they may be on the hook for financial losses.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors all over the country, including investors in Pennsylvania.

View BrokerCheck Report: Minich, d BrokerCheck 6.6.22

View FINRA Complaint: Minich, d FINRA Complaint

If you lost money with Daniel Minich or Ameriprise Financial Services, please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.

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