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 |
|---|---|---|---|---|---|---|---|---|
| Susan Marie Ecker | 4288155 | 1 | 10/17/2013 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Berge Avedisian | 2750210 | 2 | 08/22/2013 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Michael Wayne Long | 3005659 | 1 | 07/25/2013 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Patrick Francis Cusick | 5312345 | 3 | 07/24/2013 | Customer Dispute | Settled | $10,000.00 | $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 |
| Charles William Somers | 4601493 | 1 | 04/26/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay Lindsay Geaslen | 2124281 | 3 | 03/25/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Clay Smith | 2399310 | 1 | 01/10/2013 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Dylan Gregory Levey | 4297808 | 2 | 11/27/2012 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Ahmad Bashir Husami | 2362818 | 1 | 10/25/2012 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |