Ceterko refused to provide documents and information requested by FINRA pursuant to FINRA Rule 8210 in connection with a FINRA investigation into undisclosed outside business activities, undisclosed private securities transactions, and whether she accessed the accounts of multiple of her former PFS customers while she was associated with LPL. Ceterko also refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210 in connection with FINRA’s investigation.