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 money on the client’s behalf. Gardner used the clent’s money for his own personal use, which included the repayment of funds Gardner owed to other individuals.
According to FINRA, Gardner also engaged in an outside business as an agent for a real estate investment company and did not notify his firm nor did he obtain their consent.
(FINRA Case #2014041351601)
Clark Gardner was previously registered with the following securities firm(s):
12/2013 - 05/2014 CETERA ADVISORS LLC (CRD# 10299) - OREM, UT
02/2002 - 12/2013 SAMMONS SECURITIES COMPANY, LLC (CRD# 115368) - OREM, UT
08/1997 - 02/2002 WALNUT STREET SECURITIES, INC. (CRD# 15840) - EL SEGUNDO, CA
This summation of information which was obtained from FINRA’s website under "Disciplinary and Other FINRA Actions, November 2014," ends here.
Soreide Law Group represents clients nationwide before FINRA. If you sustained financial losses due to your broker or financial advisor's recommendations, call Soreide Law Group for a free consultation with an attorney at: 888-760-6552.
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