Finra bars rep terminated by Ameritas over alleged use of client funds

Kristian Gaudet of Cut Off, La., refused to appear for testimony before regulator

Jan 25, 2019 @ 2:14 pm

By Bloomberg News

The Financial Industry Regulatory Authority Inc. has barred Kristian Gaudet of Cut Off, La., from the securities industry after he failed to appear at a hearing looking into whether he used client funds for personal use.

Mr. Gaudet was discharged by Ameritas in December after an internal investigation of the allegations. He had been affiliated with the firm for 15 years.)

(More:SEC bars former Ameritas adviser after fraud trial finds him guilty)

He started his securities career in 2000 at Princor Financial Services and moved to the Advisors Group for one year in 2003 before joining Ameritas.


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