Tag Archives: Roger S. Zullo

Massachusetts Bars Broker, Fines LPL Financial For Variable Annuity Sales

July 01, 2017  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

In December 2016 the Massachusetts Securities Division filed a complaint against LPL Financial LLC (“LPL”) and one of its advisors, Roger S. Zullo, relating to the unsuitable sales of variable annuities to multiple customers of Zullo and LPL from January 2013 to December 2016. LPL is headquartered in Massachusetts. Zullo worked in Boston, MA. These […]

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