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 |
|---|---|---|---|---|---|---|---|---|
| C Gerard van Duinen | 2955290 | 1 | 04/14/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 03/31/2009 | Customer Dispute | Settled | $34,819.40 | $0.00 | See FINRA Report |
| Matthew Blaise White | 3039904 | 1 | 03/02/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brent Christopher Eugenides | 1938912 | 1 | 02/23/2009 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Robert B Charlton | 4410333 | 2 | 02/05/2009 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Cheryl Lynn Seward | 4920560 | 1 | 01/26/2009 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Vaughn Frank Holcer | 2438273 | 1 | 01/22/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Vincent Milillo | 4990056 | 3 | 12/23/2008 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Robert B Charlton | 4410333 | 2 | 12/23/2008 | Customer Dispute | Closed-No Action | $150,000.00 | $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 |