Haselkorn & Thibaut has opened an investigation into Kansas City financial advisor Jared Gudenkauf and his conduct while representing clients at Merrill Lynch. This investigation comes in response to a significant investor complaint alleging damages of $1 million related to pension liquidation services.
Understanding the Complaint Against Jared Gudenkauf
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According to Financial Industry Regulatory Authority (FINRA) records, Jared Gudenkauf (CRD# 4591389) faces a pending investor complaint filed in July 2025. The complaint specifically alleges that Mr. Gudenkauf failed to act in the customer’s best interest during the liquidation of a pension while serving as a representative of Merrill Lynch.
This allegation raises serious concerns about whether proper investment advice was provided during a critical financial decision. Pension liquidations represent major financial events in investors’ lives, often involving retirement savings accumulated over decades of work.
What Regulation Best Interest Means for You
The Securities and Exchange Commission’s Regulation Best Interest establishes clear standards for financial advisors. This regulation requires advisors to:
- Put your financial interests ahead of their own
- Recommend investments suitable for your specific situation
- Disclose any conflicts of interest
- Consider costs and alternatives when making recommendations
When advisors fail to meet these standards, investors may suffer significant financial harm. The seven-figure damages alleged in this case underscore the potential magnitude of losses when pension assets are mishandled.
Jared Gudenkauf’s Professional Background at Merrill Lynch
Mr. Gudenkauf brings 22 years of securities industry experience to his role at Merrill Lynch, where he has worked since 2011. His professional profile emphasizes his focus on retirement planning and wealth preservation strategies for successful individuals seeking to delegate their financial affairs.
| Professional Details | Information |
|---|---|
| Current Firm | Merrill Lynch (since 2011) |
| Location | Kansas City, Missouri |
| Industry Experience | 22 years |
| Licenses Held | 31 state licenses |
| Certifications | Series 7, SIE, Series 66 |
His previous registrations include positions with Ameriprise Financial Services and IDS Life Insurance Company. These credentials suggest extensive knowledge of securities regulations and investment products.
Red Flags Investors Should Consider
While one complaint doesn’t necessarily indicate a pattern, the nature and size of this allegation warrant careful consideration. Here are key warning signs investors should watch for:
Unsuitable Investment Recommendations: Any advice that doesn’t align with your risk tolerance, time horizon, or financial goals may violate industry standards.
Pension Liquidation Concerns: Liquidating a pension requires careful analysis of tax implications, alternative options, and long-term financial impact. Rushed decisions or inadequate explanations should raise concerns.
Lack of Documentation: Professional advisors should provide clear written explanations of their recommendations, especially for major decisions like pension liquidations.
Protecting Your Investment Rights
If you’ve worked with Jared Gudenkauf or any financial advisor at Merrill Lynch and have concerns about your investment recommendations, you have rights under federal securities laws. Consider these steps:
- Review all account statements and transaction confirmations
- Document any verbal promises or recommendations made
- Calculate any losses incurred from unsuitable advice
- Seek professional legal guidance promptly
Time limits apply to filing claims, so taking action quickly protects your ability to seek recovery.
Why This Investigation Matters
Haselkorn & Thibaut’s investigation into this matter reflects our commitment to protecting investor rights. With over 50 years of experience and a 98% success rate, our firm has recovered millions for clients who suffered investment losses due to advisor misconduct.
The allegation against Mr. Gudenkauf involves pension assets – often representing a lifetime of savings. When advisors fail to properly handle these critical investments, the financial consequences can devastate retirement plans and family security.
Your Next Steps
If you invested with Jared Gudenkauf at Merrill Lynch or have concerns about pension liquidation advice you received, you deserve answers. Our investigation seeks to uncover whether proper procedures were followed and if investors’ best interests were truly prioritized.
Don’t wait to protect your financial future. Haselkorn & Thibaut offers free consultations to help you understand your rights and options. Our “no recovery, no fee” policy means you pay nothing unless we successfully recover compensation for your losses.
Take Action Today: Contact Haselkorn & Thibaut at 1-888-885-7162 for your free consultation. Our experienced team will review your situation confidentially and explain your legal options. With decades of experience in investment fraud cases, we’re here to help you seek the recovery you deserve.
Remember, time limits apply to investment loss claims. The sooner you act, the stronger your position for potential recovery. Let our expertise work for you in pursuing justice and compensation for any investment losses you may have suffered.
