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.
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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.
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.