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 |
|---|---|---|---|---|---|---|---|---|
| Edward Joseph Ryan | 2270069 | 1 | 03/21/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Robert Buiter | 2768296 | 2 | 09/14/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Kenneth Barry Graves | 2361457 | 2 | 06/22/1999 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Mark Graham Lybbert | 2298825 | 3 | 12/08/1998 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Mark Graham Lybbert | 2298825 | 3 | 09/04/1998 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Samuel Karrant | 1729499 | 1 | 05/01/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Michael Landenberger | 301441 | 1 | 08/20/1997 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Thomas Earl Simms | 1364952 | 3 | 08/21/1995 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Thomas Earl Simms | 1364952 | 3 | 04/25/1995 | Customer Dispute | Settled | $17,922.00 | $0.00 | See FINRA Report |
| Dennis Charles Alt | 1708680 | 1 | 02/01/1995 | Customer Dispute | Award / Judgment | $6,400.00 | $6,400.00 | See FINRA Report |