Our Staff has compiled our research into a database of FINRA Broker Disclosures for Avantax Investment Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Kyong H Kim | 2510032 | 1 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See FINRA Report |
| Cheryl K David | 4662227 | 1 | 07/08/2013 | Customer Dispute | Award / Judgment | $35,531.90 | $26,600.00 | See FINRA Report |
| Elinos Alton Whitlock | 2391313 | 1 | 06/19/2012 | Customer Dispute | Award / Judgment | $35,531.90 | $26,600.00 | See FINRA Report |
| Steven Douglas | 2834618 | 1 | 08/04/2011 | Customer Dispute | Award / Judgment | $150,000.00 | $680,041.00 | See FINRA Report |
| Scott Andrew King | 2717034 | 1 | 12/17/2010 | Customer Dispute | Award / Judgment | $1,070,000.00 | $3,185,300.00 | See FINRA Report |
| Ronnie Joseph Labarbera | 2138884 | 2 | 02/16/2010 | Customer Dispute | Award / Judgment | $16,452.00 | $0.00 | See FINRA Report |
| Troy Jason Goldberg | 2342989 | 1 | 12/11/2008 | Customer Dispute | Award / Judgment | $300,000.00 | $11,500.00 | See FINRA Report |
| Michael John Miller | 4003539 | 1 | 03/18/2004 | Customer Dispute | Award / Judgment | $0.00 | $131,441.00 | See FINRA Report |
| Dennis Charles Alt | 1708680 | 1 | 02/01/1995 | Customer Dispute | Award / Judgment | $6,400.00 | $6,400.00 | See FINRA Report |
| Leslie Charles Smith | 1803943 | 2 | 01/14/1994 | Customer Dispute | Award / Judgment | $417.50 | $417.50 | See FINRA Report |