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According to FINRA’s BrokerCheck website for Public Disclosures, “Gaudet consented to the sanction and to the entry of findings that he refused to appear for and provide FINRA on-the-record testimony concerning a Uniform Termination Notice for Securities Industry Registration (Form U5) his member firm, Ameritas Investment Corp, filed stating that upon conclusion of internal investigation Gaudet was found to have utilized client funds for personal use.” Thus, Gaudet failed to cooperate with a FINRA investigation into allegations of his misuse of customer funds during the time that he was associated with Ameritas Investment Corp.

Prior to Gaudet’s termination from Ameritas Investment Corp., FINRA launched an investigation due to “suspicions that Mr. Gaudet was involved in fraudulent activities.” In December 2018, Ameritas Investment Corp discharged Gaudet from the firm based on accusations that Gaudet “was using client funds for personal use.”

In January 2019, FINRA issued Gaudet a notice that stated that it sought Gaudet’s recorded-testimony in regard to Ameritas Investment Corp’s allegations of his misconduct. However, Gaudet’s BrokerCheck report reveals that “Gaudet acknowledged that he received FINRA’s request and will not appear for the requested testimony on the date scheduled or at any other time.” Thus, Gaudet was barred by FINRA on January 24, 2019, in all capacities.

Kristian Gaudet has worked at multiple firms over the years, including Ameritas Investment Corp, The Advisor Group, and Princor Financial Services Corp. FINRA maintains a database of investor complaints and disciplinary and employment history for registered representatives and publishes some of this information on its BrokerCheck website, www.brokercheck.finra.org.

Kristian Gaudet Broker | Kristian Gaudet Lawsuit

Kristian Gaudet was barred by FINRA on January 24, 2019.  According to Kristian Gaudet’s BrokerCheck report, “Without admitting or denying the findings, Gaudet consented to the sanction and to the entry of findings that he refused to appear for and provide FINRA on-the-record testimony concerning a Uniform Termination Notice for Securities Industry Registration (Form U5) his member firm filed stating that upon conclusion of internal investigation Gaudet was found to have utilized client funds for personal use. The findings stated that subsequently, FINRA sent Gaudet a request for on-the-record testimony. Gaudet acknowledged that he received FINRA’s request and will not appear for the requested testimony on the date scheduled or at any other time.”

Based on our experience, we believe that there are more investors who have been the victim of Gaudet’s alleged broker misconduct or investment fraud. If you’ve worked with or invested with Kristian Gaudet, you should contact Peiffer Wolf Carr Kane & Conway immediately for a FREE Consultation.

Peiffer Wolf Carr Kane & Conway is currently investigating Kristian Gaudet’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation.  585-310-5140