FINRA Bars Broker Kristian Gaudet For Personal Use Of Client Funds

Kristian M. Gaudet (CRD#: 4190811) is a former registered broker whose last employer was Ameritas Investment Corp. (CRD#:14869) of Cut Off, Louisiana. He was previously employed by The Advisors Group, Inc. (CRD#:14035) of Bethesda, MD and Princor Financial Services Corporation (CRD#:1137) of Des Moines, IA. No current employment information is available. He has been in the industry since 2000.

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?

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