A National Securities Arbitration & Investment Fraud Law Firm

November 2018 FINRA Disciplinary Actions Name Individuals Suspended by FINRA for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for November 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:



  Christopher Cervino   Primary Capital, LLC
  COR Clearing LLC
  Abdul Chowdhury   AXA Advisors, LLC
  JP Morgan Securities LLC
  Michael Durgin   Hilltop Securities Inc.
  First Southwest
  Michael Giokas   Fortune Financial Services, Inc
  Comprehensive Asset Management and Servicing
  Travis Marks   Wells Fargo Advisors, LLC
  JP Morgan Securities LLC
  Richard Minichino   Next Financial Group, Inc
  Wunderlich Securities, Inc
  Thomas Park   Merrill Lynch, Pierce, Fenner & Smith Inc
  Wells Fargo Clearing Services, LLC
  Brian Roth   The Benchmark Company, LLC
  Intl Assets Advisory, LLC
  Whitney Stewart   Morgan Stanley
  Edge Capital Group, LLC
  James Taylor   First Empire Securities, Inc
  Morgan Stanley

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

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