William Gardner Allegedly Violated Firm’s Selling Away Policy
William Gardner (CRD #: 7163062), a broker formerly registered with Edward Jones, was fired from that firm, according to his BrokerCheck record, accessed on March 13, 2023. If you want to know more about his alleged conduct as a broker, read on.
Termination from Edward Jones
On February 14, 2023, William Gardner was fired from Edward Jones after allegedly violating the firm’s selling away policy.
FINRA Rule 3280
FINRA Rule 3280 requires brokers to seek approval from their firm before engaging in private securities transactions. Selling away, which is the selling of investments not offered by one’s firm, violates this rule.
Background Information
William Gardner has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 7TO – General Securities Representative Examination
- SIE – Securities Industry Essentials Examination
He previously worked with Edward Jones (CRD#:250).
Kurta Law Can Help
If you worked with William Gardner and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.