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:

NAME	FORMER EMPLOYERS
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

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