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 |
|---|---|---|---|---|---|---|---|---|
| Frank H Kelly | 2028226 | 6 | 10/10/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kathleen Carmen Kovar | 4666755 | 1 | 08/07/2017 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Robert Lloyd Arnold | 1240901 | 1 | 04/19/2017 | Customer Dispute | Closed-No Action | $20,359.50 | $0.00 | See FINRA Report |
| Sandy Magid | 3138610 | 1 | 03/19/2017 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Salvatore Alfred Mondello | 5996897 | 1 | 01/23/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Allen Toy | 4013098 | 2 | 01/11/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew John Fox | 5101479 | 2 | 10/21/2016 | Customer Dispute | Denied | $13,114.70 | $0.00 | See FINRA Report |
| Michael Jerome Johnson | 2879962 | 1 | 09/23/2016 | Customer Dispute | Settled | $7,460.00 | $0.00 | See FINRA Report |
| Darren Edward Stephens | 4663520 | 1 | 09/20/2016 | Customer Dispute | Denied | $8,400.00 | $0.00 | See FINRA Report |
| Alfred Ponder | 2315144 | 2 | 08/30/2016 | Customer Dispute | Denied | $32,641.00 | $0.00 | See FINRA Report |