Roger Salvatore Zullo, Financial Advisor Barred by FINRA | Goodman and Nekvasil May Recover Investors Losses

Goodman and Nekvasil May Recover Investors Losses | Roger Salvatore Zullo (Roger Zullo), Financial Advisor Barred by FINRA 

FINRA reports that Roger Zullo was licensed with LPL Financial LLC from 2004 to 2016. Reported by FINRA on July 31, 2017, Roger Zullo, was barred from association with any FINRA member in any capacity permanently.  

FINRA reports Roger Zullo, without admitting or denying the findings, consented to the sanctions and entry of findings that Roger Zullo failed to produce FINRA requested information and documents related to an investigation into allegations of fraud, falsification, and unsuitability in an administrative complaint filed by the Massachusetts Securities Division.

FINRA found that some of the misconduct is alleged to have affected customers who were senior citizens.

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 million dollars on behalf of victimized investors.  We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.  All our cases are handled on a purely contingency fee basis.

There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment with Roger Zullo, you may be able to recover your losses from LPL Financial LLC. This is because LPL Financial LLC, had a duty to supervise Roger Zullo. If you would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

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