The law firm of Oakes & Fosher is currently investigating the possible misconduct of former securities broker Bradley Gardner. According to his publicly available FINRA BrokerCheck report, Bradley Gardner has been the subject of a customer dispute and a FINRA sanction.

Bradley Gardner was a California based securities broker. He worked in the securities industry for sixteen years. During his career, he was registered with four different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations 

  • Edward Jones (2001-2005)
  • Wells Fargo (2005-2009)
  • Raymond James (2009-2012)
  • LPL Financial (2012-2017)

The Allegations

  • In October 2017, a customer alleged that that Bradley Gardner engaged in fraud, made intentional misrepresentations, made negligent misrepresentations, omitted material facts, violated California Corporations Codes, churned their account, breached his fiduciary duty, and engaged in professional negligence. This case was settled for $32,500 in damages.
  • In June 2018, Bradley Gardner was sanctioned by FINRA. The findings in this matter state that Gardner converted his elderly customer’s funds for his own personal use. Gardner allegedly told the elderly customer that she could pre-pay the fees associated with her accounts held at the firm. He allegedly claimed that he could “turn off” the fees associated with the accounts for a period of time. Gardner allegedly told her that pre-paying would give her a discount over all and she thus wrote out a check for $7,400 made payable to him. After Gardner allegedly deposited the check into his own personal account, the firm, of course, continued to charge her the same fees. Bradley Gardner resigned from his position at LPL Financial amidst the allegations. He was barred by FINRA from acting as a securities broker in any fashion.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Bradley Gardner, please contact Oakes & Fosher for a free and private consultation. We work on a contingency basis, which means there are no fees charged unless we collect for you.