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Bradley Gardner Resigned From a Former Employer Following Alleged Rule Violations


Bradley GardnerPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 11, 2018 indicate that former California-based LPL Financial broker/adviser Bradley Gardner has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gardner (CRD# 4423724).

Bradley Gardner has spent 16 years in the securities industry and was most recently registered with LPL Financial in Fort Bragg, California (2012-2017). Previous registrations include Raymond James Financial Services in Fort Bragg, California (2009-2012); Wells Fargo Advisors Financial Network in Fort Bragg, California (2005-2009); and Edward Jones in St. Louis, Missouri (2001-2005). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 23, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 18, 2001; Series 31 (Futures Managed Funds Examination), which he obtained on March 3, 2008; and Series 7 (General Securities Representative Examination), which he obtained on September 5, 2001. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint, and he resigned from a former employer in connection to alleged rule violations.

In October 2017 a customer alleged Bradley Gardner, while employed at LPL Financial, Raymond James Financial Services, Wells Fargo Advisors Financial Network and Wachovia Securities, misrepresented material facts, charged excessive fees, churned investments, over-concentrated the accounts, and recommended unsuitable investments in variable annuity products, mutual funds, real estate securities, unit investment trust, and a business development company. The customer is seeking unspecified damages in the pending complaint.

In September 2017 he submitted his voluntary resignation from LPL Financial in connection to allegations he accepted a customer check which was “made payable to himself.”

In 2002 a customer alleged Bradley Gardner, while employed at Edward Jones, “lied to her” in connection to an investment in mutual funds. The customer sought $5,090 in damages in the complaint, which was denied.

If you or someone you know has complaints regarding Bradley Gardner, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.