The PAUSE Program lists entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of investors. The PAUSE Program also lists entities that impersonate genuine U.S. registered securities firms as well as fictitious regulators, governmental agencies, or international organizations.
Gardner Financial Trading
[ Impersonators of Genuine Firms ]
White Plains Plaza
445 Hamilton Avenue, Suite 1107
White Plains, NY 10601
July 24, 2019
- Garner Financial Trading is impersonating a genuine broker-dealer firm with a similar name - Gardner Financial Services, Inc. (CRD Number: 21000; SEC Number: 8-38631). The impersonator has NO connection with, and is not to be confused with, the genuine Gardner Financial Services, Inc., which has the following mailing and internet addresses: 8421 Wayzata Boulevard, Suite 350, Minneapolis, MN 55426, www.gardnerfinancialmn.com. The SEC's EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.
Modified: July 24, 2019