October 2019- Cut Off, LA
According to publicly available records Kristian “Kris” M. Gaudet , a former stockbroker who was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting in sanctions barring him from the industry, 2 pending and one prior customer dispute, and a termination from employment.
The Financial Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Gaudet’s FINRA record indicate that in November 2018 FINRA commenced an investigation involving suspicions that Gaudet was involved in fraudulent activities. In January 2019 FINRA permanently barred him from the industry to resolve allegations that Gaudet failed to cooperate with a FINRA investigation relating to Gaudet’s use of customer funds for personal use.
In 5/2019 a customer of Ameritas was paid over $7,500 to resolve allegations that they had to pay surrender penalties on an annuity policy.
Two Ameritas customers have file FINRA arbitrations seeking damages in excess of $1 million alleging they were sold unsuitable investments.
Gaudet worked for Ameritas Investment Corp. from 10/2003-12/2018, when he was terminated. Ameritas made the following allegation on Gaudet’s FINRA record: “Registered Representative was using client funds for personal use.”
Gaudet discloses a business affiliation with Kris Gaudet Insurance & Financial Services.
If you have questions about account handled by Kristian M. Gaudet, contact us for a no charge consultation to learn about your legal options for recovery of losses.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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