Los Angeles, California – December 6, 2025 – Christopher Michael Gardner (CRD# 6399817), a financial advisor registered with Signature Estate Securities, LLC in Los Angeles, California, has a pending customer complaint on his FINRA BrokerCheck record. The complaint alleges unsuitability regarding option trading, with alleged damages of $465,000. This article provides investors with details from publicly available FINRA records and information about potential recovery options.
BrokerCheck Snapshot
Name: Chris Gardner
CRD #: 6399817
Firm: Signature Estate Securities, LLC
Location: Los Angeles, California
Years in Industry: 10
Number of Disclosures: 1
Customer Complaint Against Christopher Michael Gardner
On October 14, 2025, a customer filed a written complaint alleging unsuitability regarding option trading. The alleged activity occurred while Gardner was employed at Signature Estate & Investment Advisors LLC. Options trading involves significant risk and complexity, and brokers have a duty to ensure such strategies are appropriate for their clients’ investment objectives, risk tolerance, and financial circumstances.
Product Type: Options
Alleged Damages: $465,000.00
Status: Pending
Date Complaint Received: October 14, 2025
Status Date: November 7, 2025
Pattern of Complaints / Risk Factors
While each case is unique, complaints alleging unsuitable option trading may indicate concerns related to inadequate risk disclosures, recommending overly aggressive strategies, or failure to supervise complex trading activities. Options strategies can result in substantial losses if not properly matched to a client’s risk profile and investment experience. Investors should carefully review account statements and seek legal guidance if similar issues occurred.
Can Investors Recover Losses?
Investors who were recommended unsuitable or high-risk investments may be entitled to recover losses through securities arbitration. Patil Law, P.C. has over 15 years of experience representing investors in FINRA arbitration and securities litigation, with more than $25 million recovered for clients across 1,000+ cases. We provide a free, confidential consultation to review your potential claim. Our firm works on a contingency fee basis, meaning you pay no attorney fees unless we successfully recover money for you.
About FINRA Arbitration
FINRA arbitration is a streamlined dispute resolution process for securities-related claims. It offers a faster, more cost-effective alternative to traditional court litigation. Most cases are resolved within 12-16 months. Claims generally must be filed within six years of the incident.
Related Brokers and Firms
Christopher Michael Gardner is currently registered with Signature Estate Securities, LLC and SEIA (Signature Estate & Investment Advisors LLC). He was previously registered with OSAIC Wealth, Inc. from January 2020 to August 2023 and Towneley Capital Management, Inc. from December 2015 to September 2019. Investors who have concerns about other investment professionals at these firms or related matters may wish to review additional resources on our website, including information about broker misconduct, investment fraud, and options trading disputes.
Frequently Asked Questions
Q1: What is the complaint against Christopher Michael Gardner?
The complaint alleges unsuitability regarding option trading, with alleged damages of $465,000. The complaint was received on October 14, 2025, and is currently pending. Options trading involves complex strategies that can result in significant losses if not appropriate for the investor’s risk tolerance and financial situation.
Q2: Can investors recover losses involving Signature Estate Securities, LLC?
Yes, investors who have suffered losses due to broker misconduct may be entitled to recover damages through FINRA arbitration. Securities laws provide protections for investors, and many claims are resolved through the arbitration process. An experienced securities attorney can evaluate your specific situation.
Q3: What is FINRA arbitration?
FINRA arbitration is a dispute resolution forum specifically designed for securities-related claims between investors and brokers or brokerage firms. It provides a more efficient and cost-effective alternative to traditional litigation, with most cases resolved within 12-16 months.
Q4: What does “unsuitable investment” mean?
An unsuitable investment occurs when a broker recommends securities that do not align with an investor’s financial situation, risk tolerance, investment objectives, or needs. Brokers have a duty to ensure recommendations are suitable for their clients based on the client’s individual circumstances.
Q5: How do I look up a broker on BrokerCheck?
Visit FINRA’s BrokerCheck website at brokercheck.finra.org. Enter the broker’s name or CRD number in the search box. Review the broker’s employment history, qualifications, and any disclosed complaints, arbitrations, or regulatory actions. BrokerCheck is a free public resource maintained by FINRA.
Q6: What should I do if I suspect broker misconduct?
First, document all communications, account statements, and transaction confirmations. File a written complaint with your brokerage firm and keep copies of all correspondence. Contact a securities attorney to discuss your legal options. Consider filing a complaint with FINRA or your state securities regulator. Time limits apply to arbitration claims, so prompt action is important.
About Patil Law, P.C.
Patil Law, P.C. is a securities litigation firm dedicated to representing investors who have suffered losses due to broker misconduct, unsuitable recommendations, and securities fraud. Founded in 2018 by attorney Chetan Patil, the firm focuses exclusively on FINRA arbitration and investment loss recovery.
With over 15 years of combined experience in securities law, Patil Law has successfully recovered more than $25 million for clients across 1,000+ cases. Attorney Chetan Patil earned his law degree from Case Western Reserve University School of Law. Attorneys Gabriela Dubrocq and Patricia Herrera earned their law degrees from University of Miami. The firm handles cases nationwide involving unauthorized trading, churning, unsuitable investments, breach of fiduciary duty, and failure to supervise.
Patil Law works on a contingency fee basis, meaning clients pay no attorney fees unless the firm successfully recovers money on their behalf. All consultations are free and confidential.
Contact Patil Law for a Free Consultation
If you have experienced losses with Christopher Michael Gardner or any other broker at Signature Estate Securities, LLC, contact Patil Law, P.C. for a free, confidential consultation. Our experienced securities attorneys can review your account and advise you on your legal options. Call 800-950-6553 or email info@patillaw.com today. There is no obligation, and we work on a contingency fee basis.
Disclaimer:
The information in this post is based on FINRA BrokerCheck records and public filings. Allegations described are pending or unproven and may be contested. All investors are entitled to fair treatment under securities laws. This is attorney advertising. Prior results do not guarantee a similar outcome. This communication is for informational purposes only and does not create an attorney-client relationship.
