Lose money after investing in a GPB Capital Holdings Fund? take action
We can help recover your investment loss. Free consultations, always. CONTACT US

Financial Advisor, Kristian Gaudet, Barred By FINRA For Allegedly Using Customer Funds For Personal Use

The Wolper Law Firm is currently investigating claims against Kristian Gaudet, a former Financial Adviser at Ameritas Investment Corp. in Cut Off, Louisiana. Kristian Gaudet has been in the securities industry since 2000 and previously worked at The Advisors Group.  

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January 24, 2019, FINRA sanctioned Kristian Gaudet after he failed to participate in a FINRA investigation, in which he “was found to have utilized client funds for personal use.” 

For a full copy of the FINRA sanction, click https://www.finra.org/sites/default/files/fda_documents/2018060600901%20Kristian%20Gaudet%20CRD%204190811%20AWC%20sl.pdf.

Broker theft and/or the use of client funds by a Fianncal Advisor is strictly prohibited.  In addition, brokerage firms are required to have a supervisory system in place that is reasonably designed to detect and prevent Financial Advisors from accessing client funds.  In the event a Financial Advisor does convert client assets, a brokerage firm may be held liable for the loss of funds. 

For a copy of the Kristian Gaudet’s CRD, click https://brokercheck.finra.org/individual/summary/4190811#disclosuresSection

The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis.  Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities.  Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.  We can be reached at 800.931.8452 or by email at mwolper@wolperlawfirm.com.

Now is the time to talk to an investment loss recovery lawyer. We can help recover your investment loss. Free consultations, always.
or call 800.931.8452
Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: 800.931.8452

Additional Office Locations (by appointment only)

3355 Lenox Road
Suite 7
Atlanta, GA 30326


13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016


3102 Maple Ave.
Suite 400
Dallas, TX 75201


5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220


7900 E. Union Ave.
Suite 1100
Denver, CO 80237


1700 Park Street
Suite 103
Naperville, IL 60563


1001 Fourth Ave.
Seattle, WA 98154