Alison Mills Gardner of Sarasota Florida is a stockbroker formerly registered with Morgan Stanley who is the subject of a customer initiated investment related arbitration claim that settled on June 8, 2017 for $12,196.89 in damages supported by accusations that the customers investment instructions concerning closed-end funds and stock transactions had not been followed between 2010 and 2016. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-03458 (June 8, 2017).
FINRA Public Disclosure also reveals that a customer initiated investment related arbitration claim concerning Gardner’s conduct was settled for $14,999.00 in damages based upon allegations that while Gardner was associated with Citigroup Global Markets, Inc., he negligently handled the customer’s investment portfolio of exchange traded funds. FINRA Arbitration No. 09-06542 (Jan. 13, 2011).
As of September 1, 2017, Gardner is no longer associated with Morgan Stanley. Since August 31, 2017, Gardner has been registered with RBC Capital Markets, LLC.
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Guiliano Law Group
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