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 |
|---|---|---|---|---|---|---|---|---|
| Frank J Calise | 3022262 | 2 | 01/27/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Frank J Calise | 3022262 | 2 | 01/27/2020 | Customer Dispute | Denied | $142,250.00 | $0.00 | See FINRA Report |
| Timothy Joseph Clark | 4479035 | 1 | 01/09/2020 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Alan Michael Gnoinski | 4416094 | 2 | 01/07/2020 | Customer Dispute | Closed-No Action | $48,933.90 | $0.00 | See FINRA Report |
| Douglas Paul Stephenson | 3071193 | 1 | 05/28/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Robert George | 4334319 | 1 | 05/15/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Frank H Kelly | 2028226 | 6 | 04/09/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Doreen Antoinette Dixon | 2850766 | 1 | 02/25/2019 | Customer Dispute | Settled | $1,746.00 | $0.00 | See FINRA Report |
| Richard Charles Thomas | 1455306 | 2 | 02/13/2019 | Customer Dispute | Settled | $6,500.00 | $0.00 | See FINRA Report |
| Archibald William McMichael | 2997111 | 3 | 02/08/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |