National investment loss lawyers KlaymanToskes is investigating barred broker Bradley Gardner (CRD# 4423724) of LPL Financial LLC.
According to FINRA BrokerCheck, Bradley Gardner of LPL Financial was barred from acting as a securities broker by FINRA in June 2018 following allegations of converting an elderly client’s funds for personal use under the guise of prepaid advisory fees. Gardner is also facing a pending complaint alleging unsuitable investment recommendations resulting in client losses.
Investors that suffered losses with broker Bradley Gardner are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Bradley Gardner was barred by FINRA in June 2018 following an investigation into his handling of client funds. FINRA’s investigation determined that Gardner converted funds from an elderly client for personal use after misrepresenting the nature of a payment. The findings disclosed that Gardner convinced the client to write him a check under the premise of prepaying advisory fees at a discount, but instead used the money for personal expenses.
Between 2002 and 2018, Gardner was the subject of three customer complaints. A complaint filed in October 2017 resulted in a $110,000 settlement and addressed allegations of excessive trading, unsuitable investment recommendations, overconcentration, excessive fees, and misrepresented account values. A separate complaint filed in March 2024 alleges unsuitable investment recommendations, and is currently pending.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Bradley Gardner, or have concerns regarding your investment portfolio at LPL Financial LLC, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.