Stoltmann Law Offices is investigating Mark Gardner, a former broker with Oppenheimer & Co. Gardner allegedly executed three equity securities purchase transactions to open an investment account on behalf of a corporation without the knowledge of that corporation. He allegedly accepted the purchase orders from a person who did not have authorization to act on behalf of the corporation, and Gardner failed to verify whether that individual had been granted authorization. The transactions totaled $2,203,020.
Gardner was registered with Merill Lynch, Smith Barney, Coogan, Gilbert & Co., Lehman Brothers, E.F. Hutton, Thomas McKinnon Securities, Dean Witter Reynolds, Bear, Stearns & Co., Oppenheimer, and Lake Forest Securities. He is currently registered with J.H. Darbie & Co. in New York, New York. He has nine customer disputes against him, one of which is currently pending. His former firm, Oppenheimer & Co., can be sued for not reasonably supervising him while he was employed there. Please call us at 312-332-4200 to speak to an attorney about your options. The call is free.