Roger Zullo Allegedly Consented to a Permanent Bar

Roger Zullo Allegedly Consented to a Permanent Bar from the Securities Industry in Massachusetts, a $40,000 Administrative Fine, and Disgorgement of $1,875,348
Roger Zullo allegedly consented to a permanent bar from the securities industry in Massachusetts, a $40,000 administrative fine, and disgorgement of $1,875,348, according to the aforementioned Order currently under review by attorneys Alan Rosca and James Booker.

Payment for disgorgement was waived due to Zullo‘s financial circumstances, the Order also states.

Zullo, who has been working in the securities industry since 1988, has no disclosure events listed on his BrokerCheck profile, according to FINRA.

Visit https://securitieslitigators.com/roger-zullo-lpl-financial-defrauding-clients-and-falsifying-client-suitability-profiles/ to read the entire article as well as important information and disclosures. This blog contains attorney advertising.

Leave a Reply

Your email address will not be published. Required fields are marked *