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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Aileen Pugel | 2506156 | 3 | 05/26/2023 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| John William Rood | 2693581 | 3 | 05/09/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Elliott Bushkin | 2051696 | 2 | 05/06/2023 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| John William Rood | 2693581 | 3 | 04/25/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| J. Brian Glaze | 5373140 | 2 | 04/05/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Larry Milton Ware | 3053841 | 3 | 04/05/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jason Jon Lukz | 5772308 | 1 | 04/03/2023 | Customer Dispute | Denied | $7,300.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $489,898.00 | $0.00 | See FINRA Report |
| Joseph Paul Matoney | 4441940 | 2 | 12/30/2022 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |