Former LPL Financial LLC broker Bradley Gardner (CRD# 4423724) was barred by FINRA. He was registered with LPL Financial LLC in Fort Bragg, California, from 2012 to 2017, when he was terminated regarding, “Representative resigned after allegations were made that he accepted a client check made payable to himself.” He was previously registered with Raymond James Financial Services, Inc. in Fort Bragg, California, from 2009 to 2012, and Wells Fargo Advisors Financial Network, LLC in Fort Bragg, California, from 2005 to 2009.
In June 2018, FINRA barred him after he “consented to the sanction and to the entry of findings that he converted his elderly customer customer’s funds for his personal expenses.” FINRA found that he “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.”
In May 2021, FINRA suspended him indefinitely regarding his “failure to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.”
Bradley Gardner Customer Complaints
He has been the subject of three customer complaints between 2002 and 2024, one of which was denied, according to his CRD report:
March 2024. “Plaintiff alleges that from 2006 through 2008, the financial advisor made unsuitable recommendations.” The case is currently pending. The complaint took place while he was registered with Wells Fargo.
October 2017. “Plaintiff alleges that between September 2007 through the fall of 2016, advisor engaged in churning, misrepresentations, and over-concentrated and unsuitable investment recommendations in multiple investments. plaintiff further alleges excessive fees and commissions and misrepresentations of plaintiff’s account values.” The case was settled for $110,000.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, LPL Financial LLC may be liable for investment or other losses suffered by Bradley Gardner’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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