CRAIG ANTHONY ZABALA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/27/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061086301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Craig A. Zabala, Respondent Former Registered Representative CRD No. 2740680 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Craig A. Zabala submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2019061086301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2740680

Other names1

Also known as1

Craig A. Zabala

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