FINRA initiated an investigation after it became suspicious that Gaudet was involved in fraudulent activity. On 12/10/2018, following an internal firm investigation, Ameritas discharged Gaudet after discovering that he was using client funds for personal use.
On 1/24/2019, FINRA issued an Acceptance, Waiver & Consent (AWC) letter to Gaudet after he refused to appear for on-the-record testimony, and consented to the sanctions of being completely barred from associating with any FINRA broker dealer. He is barred in all capacities indefinitely.
Although Kristian Gaudet is no longer affiliated with a broker dealer, he remains under FINRA’s jurisdiction for any future disputes.
On 2/26/2019, a customer filed a dispute alleging that he was not informed of any penalties that he would incur withdrawing from his policy. The client requests damages of $6,914.00. This dispute is currently “pending.”
Did You Invest With Kristian Gaudet?
Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases are handled on a contingent fee basis, meaning that you won’t owe us until we recover your money for you. Contact us today and let us know how we can help.