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 |
|---|---|---|---|---|---|---|---|---|
| Theresa Lynn Badgett | 4311314 | 3 | 11/19/2008 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Thomas Roy Dartnell | 4410042 | 1 | 08/04/2008 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Mark Allen Hyma | 1900119 | 2 | 07/28/2008 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Joseph Edward Carollo | 4015980 | 2 | 07/08/2008 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Rene Stuart Randel | 4208604 | 2 | 06/06/2008 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 04/25/2008 | Customer Dispute | Denied | $32,620.10 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 04/25/2008 | Customer Dispute | Denied | $32,620.10 | $0.00 | See FINRA Report |
| Stuart Stein | 1135575 | 2 | 02/08/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin William Crowley | 1445885 | 2 | 01/15/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cary Dwight Rubman | 1443551 | 2 | 09/07/2007 | Customer Dispute | Withdrawn | $40,000.00 | $0.00 | See FINRA Report |