2020066999801 Daniel Minich CRD 6465746 Complaint lp (2022-1657153224732).pdf

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.

2020068754301 Vanessa Koliver CRD 6804444 AWC lp (2022-1657153225109).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068754301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vanessa Koliver (Respondent) Former General Securities Representative CRD No. 6804444 Pursuant to FINRA Rule 9216, Respondent Vanessa Koliver submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Sanjiv Jhaveri Comment On Regulatory Notice 22-08

I not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
I shouldn't have to go through any special process
like passing a test before you can invest in public securities,
like leveraged and inverse funds. Explain that you are
capable of understanding leveraged and inverse funds
and their risks. Tell regulators you do not
need these measures imposed on you.

Subscribe to