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December 3, 2014
Utah Broker Barred by FINRA for Alleged Conversion of Client Funds for His Own Personal Use

Clark Smith Gardner (CRD #2930356, Orem, Utah) was barred by FINRA member for allegedly converting client funds for his own use and benefit. FINRA's findings stated that Gardner's client gave him a check for $243,000 to invest, however Gardner deposited that check into his own personal bank account and did not invest any of the […]

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