{"id":7443,"date":"2018-12-18T14:12:38","date_gmt":"2018-12-18T19:12:38","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7443"},"modified":"2018-12-18T14:12:38","modified_gmt":"2018-12-18T19:12:38","slug":"november-2018-finra-disciplinary-actions-name-individuals-suspended-by-finra-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/november-2018-finra-disciplinary-actions-name-individuals-suspended-by-finra-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"November 2018 FINRA Disciplinary Actions Name Individuals Suspended by FINRA for Failing to Comply with FINRA Rules"},"content":{"rendered":"

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:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
\n

NAME<\/strong><\/p>\n<\/td>\n

\n

FORMER EMPLOYERS<\/strong><\/p>\n<\/td>\n<\/tr>\n

\u00a0 Christopher Cervino<\/td>\n\u00a0 Primary Capital, LLC<\/td>\n<\/tr>\n
\u00a0 COR Clearing LLC<\/td>\n<\/tr>\n
\u00a0 Abdul Chowdhury<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Michael Durgin<\/td>\n\u00a0 Hilltop Securities Inc.<\/td>\n<\/tr>\n
\u00a0 First Southwest<\/td>\n<\/tr>\n
\u00a0 Michael Giokas<\/td>\n\u00a0 Fortune Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Comprehensive Asset Management and Servicing<\/td>\n<\/tr>\n
\u00a0 Travis Marks<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0\u00a0Richard Minichino<\/td>\n\u00a0 Next Financial Group, Inc<\/td>\n<\/tr>\n
\u00a0 Wunderlich Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Thomas Park<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Brian Roth<\/td>\n\u00a0 The Benchmark Company, LLC<\/td>\n<\/tr>\n
\u00a0 Intl Assets Advisory, LLC<\/td>\n<\/tr>\n
\u00a0 Whitney Stewart<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Edge Capital Group, LLC<\/td>\n<\/tr>\n
\u00a0 James Taylor<\/td>\n\u00a0 First Empire Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group<\/a> represents investors in securities and investment fraud cases through FINRA arbitration or court.\u00a0 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<\/a>.\u00a0 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.<\/p>\n

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.<\/p>\n","protected":false},"excerpt":{"rendered":"

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: NAME FORMER EMPLOYERS \u00a0 Christopher Cervino \u00a0 Primary Capital, LLC \u00a0 COR Clearing LLC \u00a0 Abdul Chowdhury \u00a0 AXA Advisors, LLC \u00a0 JP Morgan […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577],"tags":[],"class_list":["post-7443","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nNovember 2018 FINRA Disciplinary Actions Name Individuals Suspended by FINRA for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — December 18, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for 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