The barring is in response charges that he ran an $1.8 million annuities scam. The SEC had previously sued Zullo in connection with the alleged scam.
Estimated reading time: 0 minutes, 22 seconds
SEC Follows Finra, Massachusetts in Barring Advisor from Industry
Former LPL advisor Roger S. Zullo, who has been barred from working in the industry by Finra and the state of Massachusetts, has just been barred from the industry by the Securities and Exchange Commission. So reports Financial Advisor Magazine.
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