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 |
|---|---|---|---|---|---|---|---|---|
| Alan Spencer | 1893795 | 1 | 11/11/2004 | Customer Dispute | Denied | $173,544.00 | $0.00 | See FINRA Report |
| Larry David Farish | 2097275 | 3 | 08/24/2004 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Alan Michael Gnoinski | 4416094 | 2 | 05/04/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael John Miller | 4003539 | 1 | 03/18/2004 | Customer Dispute | Award / Judgment | $0.00 | $131,441.00 | See FINRA Report |
| Gerald W Davidson | 2875663 | 1 | 01/05/2004 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Stuart Stein | 1135575 | 2 | 11/18/2003 | Customer Dispute | Settled | $25,440.00 | $0.00 | See FINRA Report |
| Larry David Farish | 2097275 | 3 | 04/03/2003 | Customer Dispute | Settled | $56,371.00 | $0.00 | See FINRA Report |
| Anthony Sebastian Mossa | 2368130 | 1 | 02/14/2003 | Customer Dispute | Settled | $20,595.00 | $0.00 | See FINRA Report |
| Thomas Earl Simms | 1364952 | 3 | 02/05/2003 | Customer Dispute | Denied | $52,000.00 | $0.00 | See FINRA Report |
| James Andrew Smith | 1042591 | 1 | 02/05/2003 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |