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 |
|---|---|---|---|---|---|---|---|---|
| Jaymi Lyn Gates | 2838338 | 1 | 01/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dennis Eugene Vaagen | 4041848 | 1 | 01/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Davin J Carey | 5413012 | 2 | 01/23/2022 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| David Brian Test | 2341570 | 5 | 12/15/2021 | Customer Dispute | Settled | $18,221.10 | $0.00 | See FINRA Report |
| Virgil Arthur Biggs | 1755904 | 2 | 12/06/2021 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Neil Gerson Schmerling | 4075729 | 1 | 12/06/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 08/05/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 05/21/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Saul Adam Stephens | 2956457 | 1 | 04/06/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Wayne Downing | 2620904 | 1 | 02/26/2021 | Customer Dispute | Denied | $13,352.00 | $0.00 | See FINRA Report |