Did you lose money investing with Craig Zabala (CRD# 2740680)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Craig Zabala. If you suffered losses investing with Craig Zabala, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of April 24, 2020, Craig Zabala’s FINRA BrokerCheck Report contains the following:
BARRED: FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
Disclosure Events
1 Regulatory Event(s)
Current and Previous Registrations
02/07/2015 – 04/29/2019 JOHN W. LOOFBOURROW ASSOCIATES, INC. (CRD#:14234) NEW YORK, NY
06/05/2007 – 08/26/2013 TORSIELLO SECURITIES, INC. (CRD#:130129) NEW YORK, NY
07/26/2006 – 11/17/2006 INTERCOASTAL FINANCIAL SERVICES CORP. (CRD#:45557) NEW YORK, NY
05/18/2004 – 05/31/2005 INDEPENDENT SECURITIES INVESTORS CORPORATION (CRD#:43598) CHIPLEY, FL
06/06/2002 – 09/12/2003 BREAN MURRAY & CO., INC. (CRD#:7541) NEW YORK, NY
10/30/2001 – 03/05/2002 ALLMERICA INVESTMENTS, INC. (CRD#:3960) WORCESTER, MA
05/26/2000 – 07/12/2001 TRAUTMAN WASSERMAN & COMPANY, INC. (CRD#:33007) NEW YORK, NY
FINRA expelled the firm on 06/12/2007
01/04/2000 – 04/11/2000 TRAUTMAN WASSERMAN & COMPANY, INC. (CRD#:33007) NEW YORK, NY
FINRA expelled the firm on 06/12/2007
05/29/1997 – 03/05/1998 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
Due Diligence Requirement
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Craig Zabala and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.