Bradley Gardner (Bradley Everett Gardner) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating possible claims against stockbroker Bradley Gardner.
In June 2018 Bradley Gardner was barred by FINRA indefinitely from practicing as a broker. Bradley Gardner worked for LPL Financial, LLC in Fort Bragg, California from 2012 to 2017.
Bradley Gardner was previously associated with Raymond James Financial Services and Wells Fargo Advisors Financial Services .
FINRA alleges that Bradley Gardner engaged in the following misconduct: he converted his elderly customer customer’s funds for his personal expenses..
According to FINRA, “Gardner told the elderly customer that she could pre-pay the fees associated with her advisory firm accounts at a discount by writing a check made payable to him, and that he would then “turn off’ the fees associated with her advisory firm accounts until later. Gardner accepted a personal check in the amount of $7,400 from his member firm’s elderly customer, who believed she was pre-paying her advisory account fees. However, Gardner deposited the check into his personal bank account, and used the funds to pay for his personal expenses.”
The firm continued to charge the elderly customer commission fees.
However, when the firm learned that Gardner had accepted a personal check, he returned the money to the customer. He voluntarily resigned his position at LPL for violating the firm’s policy that forbids brokers from accepting checks made out the broker directly.
Bradley Gardner has been the subject of at least 2 customer disputes.
If you invested money through Bradley Gardner, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.
Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.
Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.
