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 |
|---|---|---|---|---|---|---|---|---|
| Lois A Miskinis | 1736604 | 1 | 12/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory Powell | 1217415 | 1 | 11/16/2015 | Customer Dispute | Settled | $2,015,000.00 | $0.00 | See FINRA Report |
| Thomas Cresap Swigert | 1686025 | 2 | 10/13/2015 | Customer Dispute | Withdrawn | $60,000.00 | $0.00 | See FINRA Report |
| Vlastimir Zivkov | 4455346 | 1 | 09/21/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kyong H Kim | 2510032 | 1 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See FINRA Report |
| Karl Arnold Kebler | 2087851 | 1 | 08/03/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronald Austin McGrath | 3060849 | 1 | 02/06/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Allan Ulrich | 1017571 | 3 | 11/17/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vahe Stepanian | 5688161 | 1 | 11/07/2014 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 10/10/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |