Tag Archives: Roger Salvatore Zullo

LPL Financial Roger Zullo Over and Out

August 15, 2017  |   Posted by :   |   Securities Arbitration Claims, Variable Annuites   |   0 Comments

Roger Salvatore Zullo, of Boston, Massachusetts, a stockbroker formerly registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations that Zullo, inter alia, defrauded customers and made unsuitable investment recommendations. Letter […]

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LPL Financial LLC Named In Fraud Complaint

February 27, 2017  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Roger Salvatore Zullo, of Boston, Massachusetts, a stockbroker formerly registered with LPL Financial, LLC, was charged along with LPL Financial, LLC, in a Compliant by the Enforcement Section of Massachusetts Securities Division of the Office of the Secretary of the Commonwealth of Massachusetts, which contained allegations that, inter alia, Zullo defrauded LPL Financial LLC’s customers […]

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