Allegations Against Bradley Carrier

According to FINRA’s BrokerCheck, Synergy Investment Management fired Bradley Carrier in November 2025.  BrokerCheck discloses that he allegedly “directed non-clients to an outside investment opportunity, in violation of Firm policy”.

The report does not further disclose details about the outside investment.  However, generally licensed advisors are required to disclose all outside business activities to their firms.

History on Bradley Carrier

Bradley Carrier was licensed with Synergy Investment Management from April 2025 to November 2025 in Altamonte Springs, Florida.  He was also licensed with LPL Financial from April 2025 to December 2025. 

Can Synergy Investment Management or LPL Financial Be Responsible for Customer Losses?

FINRA Rule 3110 requires securities brokerage firms like LPL Financial to adequately supervise the activity of its advisors.  LPL Financial and Synergy Investment Management could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Law Firm Represents 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.  We have represented investors in Florida in the past  and Attorney David Neuman is licensed to practice law in Florida.  If you were a client of Bradley Carrier and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Carrier’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call Israels & Neuman 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 Against Jacob Harper

According to a FINRA regulatory action, Jacob Harper borrowed $50,000 from two customers of D.A. Davidson (who were also friends of Harper) in November 2024 and January 2025.  Generally, advisors cannot borrow money from customers without prior firm approval and under limited circumstances, under FINRA Rule 3270.  Harper allegedly returned $3,000 to one customer but has not returned any money to the other customer.

Additionally, FINRA alleged that Harper established three securities trading accounts outside of D.A. Davidson without getting prior permission.  To settle these allegations, Harper agreed to a 22-month suspension from the securities industry and a fine of $17,500.

Background on Jacob Harper

Jacob Harper was licensed with D.A. Davidson from September 2023 to March 2025 at a Newport Beach, California office.  Harper was also previously licensed with LPL Financial, Wells Fargo, and other firms.  Harper also ran a firm called Harper Private Wealth.

Can D.A. Davidson Be Responsible for Losses?

FINRA Rule 3110 requires securities brokerage firms like D.A. Davidson to adequately supervise the activity of its advisors.  D.A. Davidson could be responsible for investor losses if it failed to reasonably supervise him.

We Help Investors in California

We represent investors throughout the United States including California, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have represented numerous investors in California in the past.  If you were a client of Jacob Harper and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

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

Contact Us for a Free Case Evaluation

We offer contingency fee representation, meaning you pay nothing unless we 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 William Tunink

According to FINRA’s BrokerCheck, LPL Financial fired Tunink in September 2025 regarding allegations that he “Failed to disclose and receive prior approval for loans from customers; and settled a customer complaint away from the Firm”.  Generally, advisors cannot borrow money from customers without prior firm approval and under limited circumstances, under FINRA Rule 3270.  The termination was triggered after a customer complained to LPL Financial about a loan not being paid back.

Since then, Bill Tunink has been the subject of a second customer complaint.  The customer alleged that he sold them “Investment Units” and entered into a “Silent Partner Agreement”.  Advisors are not allowed to sell investment products that are not approved by their firm, under FINRA Rule 3280.

Background on William Tunink

William Tunink was licensed with LPL Financial from October 2021 to September 2025 at a West Des Moines, Iowa office.  He was also previously licensed with Avantax Investment Services, and was also part of a tax and bookkeeping firm called Tunink Murray Financial Group.

Can LPL Financial Be Responsible?

FINRA Rule 3110 requires securities brokerage firms like LPL Financial to supervise the activity of its advisors.  LPL Financial could be responsible for investor losses if it failed to supervise him.

We Help Investors in Iowa

We represent investors throughout the United States including Iowa, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have represented numerous investors in Iowa in the past.  If you were a client of William Tunink and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Tunink’s BrokerCheck Report

Contact Us for a Free Case Evaluation

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

Did you invest with Daniel Deno, with LPL Financial? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made against this advisor from Owensboro, Kentucky. Mr. Deno was recently arrested and charged with fraud and theft regarding a 73-year-old Tell City, Indiana client, according to 14news.com. He allegedly asked the client for cash payments and used them for his own personal benefit.

Daniel Ray Deno was a representative of LPL Financial from October 2022 to the present, as well as Fifth Third Securities from September 2020 to October 2022. He was also affiliated with German American Bank in Owensboro, Kentucky.

LPL Financial has a responsibility to adequately supervise its representatives. When firms fail to adequately monitor their advisory representatives, they may be liable for investment losses sustained by customers.

Daniel Deno’s BrokerCheck Report can be found HERE

If you lost money with Daniel Deno or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

LITTLE ROCK, ARKANSAS Are you a former customer of Alton Raney, formerly with LPL Financial in Little Rock, Arkansas? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made by the Arkansas Securities Department against Alton B. Raney II.

Arkansas investigated Mr. Raney regarding allegations that he engaged in short-term trading of mutual funds in a customer’s accounts during 2022. It was alleged that the short-term trading of mutual funds with large upfront commissions caused unnecessary charges to the customer. See Complaint and BrokerCheck Report linked below.

Alton B. Raney II was a representative of LPL Financial in Little Rock, Arkansas from December 2018 to April 2023. He then joined St. Bernard Financial from September 2023 to May 2024 in Russellville. He also had a tax lien against him in 2023.

Pursuant FINRA Rule 3110, securities brokerage firms must adequately supervise their representatives. If firms like LPL Financial fail to provide sufficient supervision, the firms could be held responsible for financial damages.

If you lost money with Alton Raney or LPL Financial, please Contact Us at 206-795-5798 for a free evaluation of your case.

View Complaint HERE View FINRA BrokerCheck Report HERE

PAHRUMP, NEVADA Did you invest in GWG L bonds through Douglas Nelson, formerly with Kingswood Capital Partners? The securities and investment fraud law firm of Israels & Neuman is looking into claims made against the advisor, who was licensed with Kingswood Capital Partners from July 2018 to October 2022.

An arbitration claim was filed against his brokerage firm in January 2024, alleging that a customer lost $250,000 in GWG. The complaint alleges that the investment in GWG was unsuitable.

According to FINRA, Douglas Duane Nelson worked in Pahrump, Nevada and has been in the securities industry since 2003. He is now affiliated with LPL Financial in Pahrump, and also operates On-Target Planning.

Israels & Neuman has represented multiple investors who lost money in GWG L bonds. We represent investors throughout the country, including Nevada investors.

View BrokerCheck Report HERE

If you lost money with Douglas Nelson, Kingswood Capital Partners, or GWG, please Contact Us at 206-795-5798 for a free evaluation of your case.

LA MESA, CALIFORNIA Are you a client of David Taddeo at LPL Financial in La Mesa, CA? He has been with LPL Financial Securities since 2000 and is the subject of six customer complaints, four of which have been made since 2020. The most recent complaint, made in December 2023, alleges losses of $124,000 related to a “private securities transaction” that was allegedly done with approval from LPL Financial.

According to FINRA, he worked in La Mesa, California and also has held an advisory license with LPL Financial since 2002.

If you lost money with David Taddeo, LPL Financial, or in real estate investments, please Contact Us at 720-599-3505 for a free evaluation of your case.

View BrokerCheck Report HERE.

Have you lost money with financial advisor Caroline Mohan, formerly with LPL Financial, in West Palm Beach, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Caroline Mohan, formerly Caroline Reyes. FINRA barred Caroline Reyes Mohan from the securities industry after she failed to respond to a FINRA investigation. FINRA was investigating her for allegations that she engaged in undisclosed outside business activities and private securities transactions. In essence, Reyes Mohan was accused of selling investments that were not approved by LPL Financial.

Caroline Mohan was a financial advisor and registered representative of LPL Financial from July 2017 to March 2021. She worked at a branch office in West Palm Beach, Florida. She was also affiliated with Founders Financial Alliance and Founders Wealth Advisors.

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; Phoenix, Arizona; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial.

Click to view Mohan, C. BrokerCheck Report

If you lost money with Caroline Mohan or LPL Financial, CONTACT ISRAELS & NEUMAN LAW FIRM at 720-599-3505 for a free evaluation of your case.

Frank Van Houten was with Raymond James Financial from June 2014 to October 2017 and again from December 2018 to January 2020. He had been with LPL Financial from January 2020 to August 2021. He has worked at branch offices in Reston, Virginia.

Brokerage firms like Raymond James Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Virginia. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Raymond James Financial.

View F. Van Houten BrokerCheck Report

If you lost money with Frank Van Houten, Northstar Financial, or Raymond James Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Courtney Kaplan was with LPL Financial from March 2019 to July 2021. She was also with Wells Fargo from June 2017 to March 2019. She has worked at branch offices in Palm Harbor, Florida. Kaplan was also allowed to resign by LPL Financial, and he’s been the subject of seven customer complaints.

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

View C Kaplan BrokerCheck Report

If you lost money with Courtney Kaplan, Wells Fargo, or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Cynthia Giovacchino has been with LPL Financial from October 2011 to the present. She has worked at branch offices in Shelton, Connecticut.

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against LPL Financial.

Click here to view C. Giovacchino BrokerCheck Report

If you lost money with Cynthia Giovacchino or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Eric Burton was a financial advisor and registered representative of LPL Financial from April 2016 to March 2019. He has been with Cetera Advisors from February 2019 to the present. He worked at a branch office in Orland Park, Illinois. Burton has also been the subject of two customer complaints regarding variable annuities.

Brokerage firms like LPL Financial and Cetera Advisors have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Illinois in the past. Attorney David Neuman is licensed to practice law in grew up in the Chicagoland area. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

View BrokerCheck: Burton, E. BrokerCheck 6.23.21

View FINRA AWC: Burton, Eric FINRA AWC

If you lost money with Eric Burton, Cetera Advisors, or LPL Financial, please CONTACT ISRAELS & NEUMAN at 720-599-3505 or 206-795-5798 for a free evaluation of your case.

BIRMINGHAM, ALABAMA – Have you lost money with financial advisor Kevin McCallum of Birmingham, Alabama? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin McCallum. FINRA alleged that McCallum recommended that several of his clients concentrate their investments in BDCs, or business development companies.

FINRA alleged that the investments in BDCs made by McCallum lost his investors over $1.2 million. To settle these allegations, McCallum agreed to a one-year suspension, a $25,000 fine, disgorgement of $14,000, and restitution of over $1.2 million for the BDC losses.

Kevin McCallum was a financial advisor and registered representative of LPL Financial from May 2012 to July 2019. He was also with Cadence Bank for the same time period. He worked at a branch office in Birmingham, Alabama. McCallum has been the subject of 5 customer complaints.

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Alabama in the past. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against LPL Financial.

View FINRA AWC: McCallum, Kevin FINRA AWC

View BrokerCheck: McCallum, Kevin BrokerCheck 6.22.21

If you lost money with Kevin McCallum or LPL Financial, please CONTACT ISRAELS & NEUMAN Law Firm at (720) 599-3505 or (206) 795-5798 for a free evaluation of your case.