Tag Archives: Converting

Former Ameritas Broker Kristian Gaudet Barred for Converting Client Funds

Stoltmann Law Offices is investigating misconduct reported by FINRA alleging that Kristian Gaudet of Cut Off, Louisiana, utilized customer funds for personal use. According to his publicly available FINRA BrokerCheck Report, FINRA initiated an investigation into Mr. Gaudet on November 30, … Continue reading

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Jeffrey Palish Was Sanctioned After Allegedly Converting More Than $180,000 in Funds From an Elderly Client For Personal Use

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that former New Jersey-based Wells Fargo Clearing Services broker/adviser Jeffrey Palish has been sanctioned by FINRA and barred from acting as a … Continue reading

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