Allegations Regarding the Expulsion

In January 2026, Fiallo agreed to the expulsion from FINRA, after it was alleged that she refused to cooperate fully with a FINRA investigation.  FINRA was looking into allegations that she borrowed money from a customer.  Generally, brokers cannot borrow money from customers, with limited exceptions.  It was further alleged that she has not repaid the money.

Background on Lyhen Fiallo

Lyhen Fiallo was licensed with PFS Investments from April 2020 to December 2024.   She worked in a Hialeah, Florida office.  She was also licensed to sell insurance through Primerica Financial Services.

Is PFS Investments Potentially Liable for Fiallo’s Conduct?

FINRA standards provide that brokerage firms like PFS Investments must reasonably supervise the activities of their financial advisors.   Firms that fail to do so could be responsible for investor losses. 

We Help Investors in Florida

We represent investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you were a client of Lyhen Fiallo and believe she acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Fiallo’s BrokerCheck Report
• View Fiallo’s FINRA AWC

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798

Allegations Against Eduardo Leon Jr.

Eduardo Leon of Houston, Texas was recently suspended for two months from the securities industry regarding allegations that he borrowed money from a customer. In January 2026, he agreed to the suspension by FINRA, as well as a fine of $5,000.  FINRA alleged that Leon borrowed $750,000 from a wealthy customer but did not tell Global Financial Services about it.  Generally, brokers cannot borrow money from customers, with very limited exceptions.  It was further alleged that he has not repaid the money.

Financial Background

Eduardo Leon Jr. was licensed with Global Financial Services from 1994 to the present.  He works in a Houston, Texas branch office.  He was also previously suspended by FINRA for four months in 2025 regarding allegations that he sold volatility-linked exchange-traded notes to  customers without reasonably understanding its risks or features.  Eduardo Leon has also been the subject of four customer complaints, three of which have been made since 2022.

Is Global Financial Services Liable for Leon’s Conduct?

FINRA standards provide that brokerage firms like Global Financial Services must reasonably supervise the activities of their financial advisors.   Firms that fail to do so could be held responsible for investor losses. 

Israels & Neuman Helps Investors in Texas

We represent investors throughout the United States as well as Texas, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you were a client of Eduardo Leon Jr. and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Leon’s BrokerCheck Report
• View Leon’s FINRA AWC

Contact Us for a Free Case Evaluation

All of our Arbitration cases are taken on a contingency fee basis, meaning you don’t have to pay us unless we successfully recover money for you!

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

In June 2025, Eric Fiallo of Hialeah, Florida was terminated by PFS Investments (Primerica) regarding allegations that he borrowed money from a securities customer.  Under FINRA Rule 3240, advisors are generally prohibited from borrowing money from clients, with limited exceptions.

That termination led FINRA to start its own investigation into Fiallo.  When he refused to produce documents to FINRA as part of its investigation, he was barred by FINRA.

Background on Eric Fiallo

Eric Fiallo was licensed with PFS Investments (Primerica) from 2008 to June 2025.  He worked in an office in Hialeah, Florida.  He was also the subject of a tax lien in 2024, and a small civil judgment in early 2025. 

Is PFS Investments Liable for Fiallo’s Conduct?

FINRA standards provide that brokerage firms like PFS Investments must reasonably supervise the activities of their financial advisors.   Firms that fail to do so could be responsible for investor losses. 

Israels & Neuman Helps Investors in Florida

We represent investors throughout the United States including Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney David Neuman is licensed to practice law in Florida. If you were a client of Eric Fiallo and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Fiallo’s BrokerCheck Report
• View Fiallo’s FINRA AWC

Contact Israels & Neuman for a Free Case Evaluation

All of our Arbitration cases are taken on a contingency basis, meaning that you don’t pay us unless we successfully recover money for you.

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

Allegations Against Jennifer Ceterko

FINRA alleged that it started an investigation into Jennifer Ceterko after she was alleged to have “Accessed outside investment accounts” using the login credentials of her former clients and participated in account activity in those outside accounts”.   FINRA then alleged that Ceterko refused to appear for an on-the-record interview.    

It is a violation of FINRA Rule 8210 to refuse to respond to or cooperate with a FINRA investigation.  Violations of this Rule often result in suspensions or expulsions from the securities brokerage industry, and Ceterko was barred by FINRA.

Jennifer Ceterko Industry History

Jennifer Ceterko was affiliated with LPL Financial from December 2022 to December 2024.  She was also previously affiliated with PFS (Primerica) Investments.  She worked in a Wayne, New Jersey branch office.  She also filed for bankruptcy in 2017.

Can LPL Financial be Responsible for Customer Losses?

Broker-dealers like LPL Financial must reasonably supervise the activities of their representatives.  If a firm does not adequately supervise their advisors, it could be liable for any investor harm.

Israels & Neuman Represents New Jersey Residents

Our firm represents investors throughout the country including New Jersey, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of Jennifer Ceterko and believe she acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Jennifer Ceterko FINRA AWC
• View her BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

All of our FINRA Arbitration cases are taken on a contingency fee basis, meaning no up front costs to you.

Call us today for a Free Consultation at (720) 599-3505 or (206) 795-5798

Allegations Regarding the Termination

Juenger was fired by LPL Financial regarding allegations that he borrowed money from a client.  Generally, financial advisors are not allowed to borrow money from clients, except for limited circumstances, and they generally must get prior approval under those limited circumstances.  

Background on Todd Juenger

Todd Juenger was licensed with LPL Financial from May 2025 to October 2025 and also from April 2022 to January 2023.  He previously worked with a number of other firms, including Cuso Financial and Conover Securities.

Is LPL Financial Potentially Liable for Juenger’s Conduct?

FINRA standards provide that brokerage firms like LPL Financial must reasonably supervise the activities of their financial advisors.   Firms that fail to do so could be responsible for investor losses. 

We Help Investors in Washington

We represent investors throughout the United States including Washington, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have offices in Seattle and Vancouver, Washington. If you were a client of Todd Juenger and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Juenger’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have offices in Seattle and Vancouver and can help you recover the money you deserve.

Were you a client of Luke Lannister of Grove Point Investments in Rockville, Maryland? If you lost money investing with Lannister, you may have legal options to recover your losses. Call the law office of Israels & Neuman for a free and confidential case review.

FINRA Allegations Against Luke Lannister

FINRA brought a regulatory action against Lannister, alleging that Lannister engaged in discretionary trading in customer accounts without having written authorization to do so.  Discretionary trading occurs when an advisor effects trades in an account without getting specific authority to make each transaction from the client prior to each trade.  Lannister alleged that the customers generally understood that Lannister was engaging in such trading, but FINRA alleged that no written authorization was made for such.  To settle these allegations, Lannister agreed to a two-month suspension and a $5,000 fine.

Background on Luke Lannister

Luke Lannister had been a representative of Grove Point Investments (formerly known as H. Beck) between February 2021 and November 2023.  He was also previously licensed with Cuso Financial and Capital One.  He worked at a Rockville, Maryland office.  Lannister has been the subject of three customer complaints since 2022, and he was also terminated by H. Beck/Grove Point Investments for the discretionary trading allegations.

What Are My Rights as an Investor?

Maryland investors have the right to pursue claims through FINRA arbitration, a legal forum designed to help recover funds lost due to broker misconduct or unsuitable investment recommendations.

Luke Lannister may be individually liable for misrepresentation, unsuitable advice, or breach of fiduciary duty. However, Grove Point Investments may also bear responsibility if they failed to properly supervise Lannister or ignored warning signs.

We Represent Investors in Rockville and Across Maryland

At Israels & Neuman, we have helped thousands of investors nationwide recover money lost to financial advisor misconduct and represent investors throughout Maryland. Our attorneys have extensive experience handling claims involving Grove Point Investments.

Find Lannister’s FINRA AWC here

Find Lannister’s BrokerCheck report here

Free Case Review — Speak to a Securities Fraud Attorney Today

If you invested with Luke Lannister, contact us for a free case evaluation. We always offer Free Consultations. If we take your case, we do so on a contingency fee basis—which means there are no attorney fees unless we recover money for you!

(720) 599-3505 or (206) 795-5798

Carol Abdo-Brownsberger of Wells Fargo in Daytona Beach, Florida was fired by Wells Fargo in November 2023, regarding allegations that she “failed to obtain approval prior to opening and directing investments in an outside account and receiving a portion of a deceased clients assets”.   That also led to FINRA initiating its own investigation into these allegations.  In September 2025, Abdo-Brownsberger was suspended from the securities industry for six months and ordered to pay a $5,000 fine.  If you lost money, contact the securities and investment fraud law firm of Israels & Neuman at (720) 599-3505.

Background on Carol Abdo-Brownsberger

From 2008 to November 2023, Carol Abdo-Brownsberger was associated with Wells Fargo.  She worked in a Daytona Beach, Florida branch.  She also previously worked with A.G. Edwards and Dean Witter Reynolds. 

Is Wells Fargo Liable for Investment Losses?

As a broker-dealer, Wells Fargo has an obligation to reasonably monitor the conduct of its advisors under FINRA rules.  It could be liable if it failed to reasonably supervise her and her conduct.

Israels & Neuman Helps Investors in Florida

We represent investors throughout the United States, including Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Abdo-Brownsberger’s FINRA AWC
• View Abdo-Brownsberger’s BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

Allegations Against Solomon Tobal

According to allegations from FINRA’s BrokerCheck, Tobal was permitted to resign by Morgan Stanley in July 2025.  Morgan Stanley said that it allowed him to resign after “allegations regarding the movement of client positions between different account types”.  A few days later in July, a customer filed a complaint with Morgan Stanley regarding Tobal, alleging misrepresentations with respect to commissions charged for trades on advisory accounts.  A second customer complaint was made in August 2025 regarding fees on “alternative” investments.

Background on Solomon Tobal

Solomon Tobal was assigned to a Paramus, New Jersey branch while affiliated with Morgan Stanley between November 2023 and July 2025.  Tobal now works with Wells Fargo in Hackensack.

What Can I Do to Recover Investment Losses?

Investors can pursue claims through FINRA arbitration, a forum designed to help recover funds lost due to broker misconduct or unsuitable investment recommendations.  Solomon Tobal could be responsible for misrepresentation, unsuitable advice, or breach of fiduciary duty. However, Morgan Stanley may also bear responsibility if they failed to properly supervise Tobal or ignored warning signs.

Israels & Neuman Represents Investors in New Jersey and Across the Country

At Israels & Neuman, we have helped thousands of investors nationwide recover money lost to financial advisor misconduct and represent investors throughout New Jersey.  Our attorneys have extensive experience handling claims involving investment schemes.

Free Case Review — Speak to a Securities Fraud Attorney Today

If you invested with Solomon Tobal, contact us for a free case evaluation. Our attorneys are here to help you understand your rights and determine whether a claim through FINRA arbitration is right for you.

If we take your case, we do so on a contingency fee basis—which means there are no attorney fees unless we recover money for you!

(720) 599-3505 or (206) 795-5798

Allegations of FINRA

Patrick Pistor of New Braunfels, Texas was discharged by Equitable Advisors in February 2025.  Equitable Advisors disclosed that he was “discharged for failure to comply with the Firm’s Outside Business Activity policy”.  Generally, under FINRA Rule 3270, stockbrokers must get permission from their brokerage firm to engage in any business activities that fall outside the employment with the brokerage firm.

Subsequently, FINRA started its own investigation into the allegations regarding Pistor.  He has been indefinitely suspended from the securities industry since July 11, 2025 because he allegedly failed to respond to the FINRA investigation.

Background

Patrick Pistor worked in aNew Braunfels, Texas office while he was registered with Equitable Advisors from September 2022 to February 2025. 

Can I Recover My Investment Losses?

Yes—investors have the right to pursue claims through FINRA arbitration, a legal forum designed to help recover funds lost due to broker misconduct or unsuitable investment recommendations.

Financial advisors may be individually liable for misrepresentation, unsuitable advice, or breach of fiduciary duty. However, Equitable Advisors may also bear responsibility if they failed to properly supervise Pistor or ignored warning signs.

We Represent Investors in Texas

Israels & Neuman has helped thousands of investors nationwide recover money lost to financial advisor misconduct and we represent investors throughout Texas.  Our attorneys have extensive experience handling claims involving investment schemes.

Free Case Review — Speak to a Securities Fraud Attorney Today

If you invested with Patrick Pistor, contact Israels & Neuman for a free and confidential case evaluation. Our attorneys are here to help you understand your rights and determine whether a claim through FINRA arbitration is right for you.

(720) 599-3505 or (206) 795-5798