Nex Systems
Person

KRISTIAN M GAUDET

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/24/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060600901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Kristian Gaudet, Respondent Former Registered Representative CRD No. 4190811 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Kristian Gaudet, submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018060600901finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number4190811

Other names1

Also known as1

Kristian Gaudet

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