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Investigating Complaints Against Kristian Gaudet and Ameritas Investment Corp.

Did you suffer investment losses after working with Kristian Gaudet, a former broker previously registered with the Financial Industry Regulatory Authority (FINRA) through Ameritas Investment Corp. (Ameritas) in Cut Off, Louisiana. If so, the attorneys of Investment Loss Recovery Group want to help you. We are now investigating potential complaints against Kristian Gaudet.

Our law firm works with clients nationwide who have lost money due to the negligence and/or misconduct of brokers and financial advisors whom they had trusted to provide sound investment advice and to ethically and responsibly handle their accounts. We bring more than 40 years of combined legal experience to our clients as well as in-depth knowledge of the financial services industry. Both of our attorneys have backgrounds as licensed securities brokers and as defense counsel for large Wall Street brokerage firms.

Contact us today if you incurred investment losses after working with Kristian Gaudet or Ameritas. We will review your potential claims in a free and confidential consultation.

Who Is Kristian Gaudet?

You can find information about Kristian Gaudet (CRD# 4190811) through an online database accessible by the public, the FINRA Central Registration Depository (CRD). Based on his FINRA BrokerCheck Report:

Kristian Gaudet had previously worked in the financial services industry since 2000. Over the course of his career, he has been registered with several FINRA firms, he has been registered through:

  • Princor Financial Services Corp. in Des Moines, IA. (2000-2002)
  • The Advisors Group in Bethesda, MD. (2003-2003)
  • Ameritas Investment Corp. in Cut Off, LA. (2003 – 2018)

FINRA Brokercheck records reflect Mr. Gaudet was registered with a FINRA Series 6 license in 2000, and Series 63 license in 2013. Mr. Gaudet’s FINRA Brokercheck report discloses an investigation, employment and regulatory disclosure.

The Most Recent Disclosures Reported on Mr. Gaudet’s FINRA Brokercheck?

The most recent disclosures on Mr. Gaudet’s FINRA Brokercheck include an investigation disclosure initiated by FINRA related to a review of possible fraudulent activity. Shortly thereafter in December 2018, Ameritas disclosed an employment discharge alleging Mr. Gaudet may have used client funds for personal use. In January 2019, a FINRA regulatory disclosure alleges (without admitting or denying the findings) that Mr. Gaudet failed to appear and provide testimony to FINRA concerning his Form U-5 termination notice filed by his previous employer and as a result of an Acceptance, Waiver & Consent (AWC) with FINRA he was barred in all capacities indefinitely beginning in January 2019, and that remained the case as of March 2019. See FINRA Brokercheck report for additional details.

How Can You Recover Investment Losses Involving Mr. Gaudet or Ameritas?

If you suffered investment losses involving Mr. Gaudet or Ameritas or if you suspect your accounts or investments were handled negligently or improperly, you may wish to seek legal advice and a no-cost review of your accounts or investments as soon as possible. You may be entitled to a recovery of your losses in addition to other damages. You may also have the right to file a private, confidential FINRA complaint against any broker, or brokerage firm that failed to properly handle your investment account, or may have failed to adequately supervise your investment accounts, or Mr. Gaudet’s conduct as a broker and financial advisor.

The skilled securities arbitration and investment fraud lawyers of Investment Loss Recovery Group have an insider’s view of the legal and regulatory issues that can affect a case, and we understand how brokerage firms evaluate these matters. We can review your case and present you with a strategic plan to help you recover your investment losses as expeditiously as possible.

We serve clients throughout the country. Contact us today for a free consultation and find out more about how we can assist you.

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