INVESTIGATION: KRISTIAN GAUDET of Ameritas – Cut Off, LA
Kristian Gaudet, formerly with Ameritas Investment Corp., Barred by FINRA
Have you lost money with financial advisor Kristian Gaudet of Cut Off, Louisiana? We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Kristian M. Gaudet. FINRA barred Gaudet from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Gaudet after he was terminated by his former brokerage firm, Ameritas Investment Corp., for allegedly using client funds for personal use.
Kristian Gaudet was a financial advisor and registered representative of Ameritas Investment Corp. from 2003 to December 2018. He worked at a branch office Cut Off, Louisiana. Gaudet also operated Kris Gaudet Insurance and Financial Services.
Brokerage firms like Ameritas Investment Corp. have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Louisiana and the New Orleans area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Ameritas Investment Corp.
Click to view: Gaudet, Kristian FINRA AWC
Click to view: Gaudet, Kristian BrokerCheck 1.25.19
If you lost money with Kristian Gaudet or Ameritas Investment Corp., please CONTACT US at 720-599-3505 for a free evaluation of your case.