Kristian M. Gaudet of Cut Off Louisiana a stockbroker formerly registered with Ameritas Investment Corp. is referenced in a customer initiated investment related arbitration claim where the customer sought $538,500.00 in damages supported by accusations that (1) the customer’s account was administered negligently (2) Ameritas Investment Corp. failed to supervise Gaudet’s activities and (3) private […]
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Tag Archives: Kristian M. Gaudet
Ameritas Sued By Investors For Negligence
October 18, 2019 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Private Placement Fraud, Securities Arbitration Claims, Stockbroker Negligence, Stockbroker Theft, Unsuitable Investment Recommendations | 0 Comments
FINRA Bars Ameritas Broker In Theft Investigation
January 29, 2019 | Posted by : Guiliano Law Group | Failure to Conduct Due Diligence, Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft | 0 Comments
Kristian M. Gaudet of Cut Off Louisiana a stockbroker formerly registered with Ameritas Investment Corp has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Gaudet failed to cooperate with a FINRA investigation into allegations of Gaudet’s misuse of customer funds during the […]
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