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Todd Gauthier Involved in Investor Dispute

May 2, 2022 Unsuitable Investments

Todd Gauthier (CRD #: 1429968), a broker registered with Truist Investment Services, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on April 21, 2022. Read on if you have questions about Todd Gauthier’s conduct as a broker.

Investor Dispute

In a dispute filed on January 19, 2022, an investor alleges via attorney that Todd Gauthier violated FINRA rules involving suitability and negligence. The dispute is pending.

FINRA Rule 2111

FINRA Rule 2111 defines suitable investments as those which reasonably match an investor’s profile. Investors’ profiles contain information such as their age, tax status, and financial situation. Losses caused by unsuitable investment recommendations may potentially be recovered through FINRA arbitration.

What is broker negligence?

Several kinds of broker behavior can qualify as negligence. Unsuitable investment recommendations, excessive trading, and misrepresentation of investments are some of the common forms of negligence.

Background Information

Todd Gauthier has passed the following exams:

  • Series 65 - Uniform Investment Adviser Law Examination
  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 10 - General Securities Sales Supervisor - General Module Examination
  • Series 9 - General Securities Sales Supervisor - Options Module Examination
  • Series 24 - General Securities Principal Examination

Todd Gauthier is a registered broker in 26 states and the District of Columbia. He is also a registered investment adviser in Georgia, Louisiana, and Texas.

In the past, Todd Gauthier has worked for the following firms:

  • Suntrust Investment Services (CRD#:17499)
  • Wachovia Securities (CRD#:19616)
  • First Union Brokerage Services (CRD#:8112)
  • Primevest Financial Services (CRD#:15340)
  • First Union Brokerage Services (CRD#:8112)
  • Invest Financial Corporation (CRD#:12984)
  • F.N. Wolf & Company (CRD#:13051)
  • Sherwood Capital (CRD#:10474)
  • First Jersey Securities (CRD#:6621)

Kurta Law Can Help

If you worked with Todd Gauthier and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.