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 |
|---|---|---|---|---|---|---|---|---|
| Damien Joseph Paumi | 4428223 | 1 | 09/04/2007 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Kenneth Barry Graves | 2361457 | 2 | 04/17/2007 | Customer Dispute | Denied | $9,829.00 | $0.00 | See FINRA Report |
| Cary Dwight Rubman | 1443551 | 2 | 03/30/2007 | Customer Dispute | Denied | $173,875.00 | $0.00 | See FINRA Report |
| Brent Dee Larsen | 1986785 | 1 | 01/19/2007 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Michael Alan Strojny | 1890091 | 2 | 12/22/2006 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Virgil Arthur Biggs | 1755904 | 2 | 10/26/2006 | Customer Dispute | Denied | $6,137.11 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 08/01/2006 | Customer Dispute | Settled | $87,639.50 | $0.00 | See FINRA Report |
| James Michael Bruno | 1531618 | 3 | 07/06/2006 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |
| James Michael Bruno | 1531618 | 3 | 07/06/2006 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| James Michael Bruno | 1531618 | 3 | 07/06/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |