Not all securities are available to the public to purchase. Restricted securities allow companies to sell shares in their company before they submit all the necessary information to the Securities and Exchange Commission to make an initial public offering. They are sometimes offered as part of a compensation plan for employees, or as remuneration for…

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Michael Williams (CRD #: 468074) of Dallas, Texas, is involved in a customer dispute involving a Real Estate Investment Trust (REIT), according to his BrokerCheck record, accessed on October 28, 2020. Mr. Williams is a broker and an investment adviser registered with Commonwealth Financial Network. This is not the only time an investor has alleged…

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Grant Conness (CRD #: 4778193), an investment adviser registered with Global Wealth Management Invest Advisory, is involved in a client dispute regarding unsuitable investment recommendations, according to his BrokerCheck record, accessed on October 28, 2020. This is not the first allegation of an unsuitable investment — concerned investors should keep reading. On September 8, 2020,…

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Jonathan Pyne (CRD #: 2580510), a broker and investment adviser registered with Berthel, Fisher & Company Financial Services, has a new client dispute involving unsuitable and misrepresented investments, according to his BrokerCheck record, accessed on October 28, 2020. Investors have levied several other allegations at Mr. Pyne that investors should know about. On September 4,…

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Randall Minas (CRD #: 821449), a broker registered with Stifel, Nicolaus & Company, is involved in a client dispute that alleges Mr. Minas violated antifraud laws, according to his BrokerCheck record, accessed on October 28, 2020. This is only the latest in a long string of disclosures that investors should review. On September 4, 2020,…

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Randy Birkinbine (CRD #: 2008599), a broker and investment adviser registered with Ausdal Financial Partners, is involved in a customer dispute regarding illiquid investments, according to his BrokerCheck record, accessed on October 28, 2020. This is only the latest disclosure — investors should be aware of additional investor disputes as well as his history of…

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Gary Ginsberg (CRD #: 1175258), a broker and an investment adviser registered with Ameriprise Financial Services, is involved in a client dispute over an alternative investment, according to his BrokerCheck record, accessed on October 28, 2020. Mr. Ginsberg has another pending dispute with a client who alleges that his investment recommendation was unsuitable. These are…

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