RADLEY EVERETT GARDNER (CRD#: 4423724) an advisor formerly with LPL Financial in Fort Bragg, California, has been barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm, following allegations of misappropriating $7,400 from an elderly client.
According to FINRA, Gardner allegedly accepted a $7,400 personal check from the elderly client after telling the client he would pre-pay the fees on her three advisory accounts. Gardner allegedly deposited her check into his own personal bank account and used the funds to pay for his own expenses.
FINRA stated that Gardner allegedly told the elderly client that she could pre-pay the fees at a discount and he told her once he received her check he would ‘turn off’ the fees until March of 2019. However, Gardner accepted the check in June of 2017 but the fees from LPL continued. The elderly client was reimbursed the $7,400 by BRADLEY EVERETT GARDNER once his misconduct was discovered by LPL Financial.
According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, BRADLEY EVERETT GARDNER has 4 Disclosures on his report. One of those disclosures was an “Employment Separation Following Allegations” from LPL Financial. It was a voluntary resignation following the allegations the, “Representative resigned after allegations were made that he accepted a client check made payable to himself.”
Gardner was in the securities industry for 16 years and was with 4 firms, the 2 most recent are listed below:
02/27/2012 – 10/18/2017 LPL FINANCIAL LLC – FORT BRAGG, CA
06/01/2009 – 02/29/2012 RAYMOND JAMES FINANCIAL SERVICES INC – FORT BRAGG, CA
If you or an elderly family member experienced losses due to the actions or recommendations of the former LPL Financial of Fort Bragg, California, advisor BRADLEY EVERETT GARDNER, call Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA. We operate on a contingency fee basis—no fee if no recovery.