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LPL Financial's Bradley Gardner Barred for Conversion from Elderly Client

FINRA barred former LPL Financial (Fort Bragg, California) broker Bradley Everett Gardner for converting funds from an elderly client in 2017, purportedly accepting a personal check made payable to Gardner himself in contravention of firm policy that the elderly LPL customer thought was meant to pre-pay advisory account fees, but, instead, was deposited by Gardner into his personal bank account, and then used to pay for personal expenses.

AWC #2017055975701

The report states that in June 2017, Gardner (CRD #4423724) accepted a personal check from an elderly LPL Financial customer for $7,400 and deposited it into his bank account, converting the funds for personal use, in contravention of firm policy that prohibited representatives from accepting a check from a customer payable to them directly.

According to the findings, Gardner told the elderly customer that she could pre-pay fees associated with her advisory accounts at a discount by writing a check made payable to him—that if she wrote a check payable to Gardner directly, he would waive the advisory account fees until 2019.

After LPL Financial allowed Gardner to voluntarily resign in September 2017, a customer filed and settled a dispute against Gardner in which the client alleged fraud, churning, intentional and negligent misrepresentation, omissions, breach of fiduciary duty, supervision, and professional negligence.

Additional investment-related LPL DBAs listed in Gardner's BrokerCheck file include Redwood Investment Group of Fort Bragg, CA, and Golden State Wealth Management LLC of South Coast Metro, CA.

If you have invested with former LPL Financial broker Bradley Everett Gardner or with any representative or financial adviser who has converted funds—such as inappropriately asking for or accepting a check made payable to the rep personally, and then depositing this check into a personal account, for personal use unrelated to your securities/investment activities—and this misconduct has proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.