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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Aileen Pugel | 2506156 | 3 | 08/13/2014 | Customer Dispute | Settled | $7,297.09 | $0.00 | See FINRA Report |
| Kenneth Allan Ulrich | 1017571 | 3 | 07/24/2014 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Louis Joseph Gallipoli | 2835674 | 2 | 04/23/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tonya Gay Fulcher | 2356493 | 1 | 04/18/2014 | Customer Dispute | Closed-No Action | $76,205.90 | $0.00 | See FINRA Report |
| Sergio T Rodriguez | 5954885 | 1 | 03/07/2014 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mark Ellison | 5231903 | 1 | 03/06/2014 | Customer Dispute | Denied | $8,544.94 | $0.00 | See FINRA Report |
| David Bryan Barnett | 1746235 | 1 | 02/13/2014 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Michael Allen Toy | 4013098 | 2 | 01/30/2014 | Customer Dispute | Settled | $9,886.71 | $0.00 | See FINRA Report |
| Theresa Lynn Badgett | 4311314 | 3 | 12/20/2013 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ryan Paul Fischer | 6107779 | 2 | 12/17/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |