John Wade Loofbourrow of New York, New York, a stockbroker registered with Demopolis Capital Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $175,000.00 in damages based upon allegations that the customer was defrauded in connection with the sale of Concord Group Holdings private placements. Financial Industry…
Craig Anthony Zabala of Harlem, New York, a stockbroker registered with John W. Loofbourrow Associates Inc. (and President and CEO of Concorde Group Holdings Inc.), has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or an investment advisor representative because Zabala committed fraud. In the Matter of Craig A. Zabala, Order…
Craig Anthony Zabala of Harlem New York a stockbroker formerly registered with John W. Loofbourrow Associates and CEO of Concorde Group Holdings has been charged by Securities and Exchange Commission (SEC) with making misrepresentations to investors and misappropriating their funds. Securities and Exchange Commission v. Craig A. Zabala et al. Case No. 1:20-cv-07880 (Sept. 24,…
John Wade Loofbourrow of New York New York the President and Chief Executive Officer of John W. Loofbourrow Associates (JWLA) has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity based upon findings that Loofbourrow neglected to supervise outside business activities. Letter of Acceptance Waiver…
Craig Anthony Zabala of New York New York a stockbroker formerly employed by John W. Loofbourrow Associates Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Zabala hindered a FINRA investigation into allegations of him engaging in private securities transactions and outside business…