Bad Broker

Daniel Minich Suspended for Undisclosed Cryptocurrency Hedge Fund Transactions

2022-08-12

My Bad Broker

According to FINRA, Daniel T. Minich was fined $5,000 and suspended for four months for participating in private securities transactions totaling $200,000 without providing prior written notice to his firm. Minich purchased $50,000 in limited partnership interests in a hedge fund purporting to invest in cryptocurrency. He also facilitated two customers' purchases of $50,000 and $100,000 in the same fund. Minich falsely attested he had not engaged in private securities transactions other than those pre-cleared. Private transactions away from firms must be disclosed to ensure supervision and prevent conflicts. Cryptocurrency investments carry substantial risks and may be unsuitable for many investors.

Violation :

Participated in undisclosed private securities transactions

Tags :

Daniel T. Minich,
PA
CRD Number : 6465746

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