Ivan Shore (CRD #: 1012943), a broker registered with Oppenheimer & Co., has consented to a suspension and fine as part of an agreement with the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on November 18, 2020. For more information about FINRA’s findings, keep reading. On November 6, 2020, Ivan Shore…

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Chad Turner (CRD #: 4152030), a broker and an investment adviser registered with LPL Financial, has multiple pending investor disputes, according to his BrokerCheck record, accessed on November 22, 2020. On October 22, 2020, a client alleged that Chad Turner made omissions and recommended unsuitable investments and over-concentrated investments in their portfolio. On July 15,…

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Damian Bell (CRD #: 2348521), a broker registered with International Assets Advisory, is involved in a new client dispute, according to his BrokerCheck record, accessed on November 23, 2020. There are several other disclosures on Mr. Bell’s record that investors should note. On October 21, 2020, a client alleged that Damian Bell had breached his…

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William Keeney (CRD #: 3082733), a Massachusetts broker registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, is facing client allegations of unsuitable investment recommendations. The client is alleging over $1.8 million in damages, according to his BrokerCheck record, accessed on November 23, 2020. On October 19, 2020, a client alleged that William Keeney made…

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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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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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Brian Manning (CRD #: 1561116), a New Jersey broker and investment adviser registered with Morgan Stanley, is involved in a customer dispute, according to his BrokerCheck record, accessed on October 29, 2020. For more information about his record as a broker, keep reading. On September 2, 2020, a client alleged that Mr. Manning made unsuitable…

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