Christopher Gardner Complaints |Signature Estate Securities Advisor Faces $4.5M in Claims
The White Law Group is investigating complaints involving Christopher Gardner, a Los Angeles advisor, who works with Signature Estate Securities. Here is what’s on his record and what your options may be if you invested with him. If you have questions about pursuing a claim, our FINRA arbitration attorneys can help.
Two Pending Claims Behind the Christopher Gardner Complaints
Christopher Michael Gardner (CRD #6399817) has been registered with SEIA since January 2020 and with Signature Estate Securities, LLC since August 2023, both in Los Angeles. In March 2026, a customer reportedly filed a FINRA arbitration claim alleging Gardner recommended unsuitable options trades, seeking $500,000. Later that month, a second and larger claim was filed alleging Gardner breached his fiduciary duty in connection with options trading, seeking $4 million. Both matters remain pending.
Can Signature Estate Securities Be Held Responsible?
Firms that register brokers and investment advisers have a duty to supervise the recommendations made in client accounts, including options strategies. If Signature Estate Securities approved or failed to catch unsuitable options trading in Gardner’s accounts, the firm may share liability for the resulting losses alongside Gardner himself.
Frequently Asked Questions
How do I file a claim to recover money I invested with Christopher Gardner?
Most brokerage and advisory account agreements typically include a pre-dispute arbitration clause, so claims like these are usually filed and resolved through FINRA arbitration rather than in court. Investors who lost money in accounts managed by Gardner may still recover damages through arbitration. The White Law Group can review your account statements and help you determine whether you have a claim.
What is unsuitable options trading, and why does it matter for my investment?
Options trading is unsuitable when a broker recommends strategies that don’t match a client’s investment objectives, risk tolerance, or financial situation. It matters because options can amplify losses quickly, and a broker who ignores a client’s actual risk profile can expose them to losses far beyond what they agreed to.
Can Signature Estate Securities be held responsible for my losses, even though Gardner made the trades?
Yes, the firm may be liable for failing to supervise Gardner’s recommendations if it knew or reasonably should have known the trading was unsuitable. This supervisory duty exists separately from Gardner’s own conduct, so a firm can face liability even when individual trades were not directly approved in advance.
If you invested with Christopher Gardner through Signature Estate Securities and suffered losses, contact The White Law Group, national securities fraud attorneys with offices in Chicago and Seattle, at (888) 637-5510 or through our contact page for a free consultation. Learn more about how our FINRA arbitration attorneys can help you pursue a claim.
