Articles Tagged with Bradley Gardner

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Bradley Everett Gardner of Fort Bragg, California submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly converting customer funds in violation of FINRA Rules 2150(a) and 2010.

In February 2012, Bradley Garner joined LPL Financial LLC as a General Securities Representative. According to FINRA, in a Form U5, the firm reported Mr. Gardner’s voluntary resignation following allegations that he accepted a client check made payable to himself. The findings stated that Mr. Garner allegedly told his customer she could pre-pay her fees at a discounted rate if she wrote a check payable to him in the amount of $7,400. FINRA also stated that when the customer accepted, he took the check and deposited it into his personal bank account for his own use. When the firm discovered what had happened, Mr. Garner reimbursed the customer the $7,400 and was then terminated. Continue reading →