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 |
|---|---|---|---|---|---|---|---|---|
| Frederick William Jackson | 2545657 | 1 | 11/26/2018 | Customer Dispute | Settled | $34,661.90 | $0.00 | See FINRA Report |
| David H Posmantier | 2404165 | 1 | 11/15/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Beasley | 4777811 | 1 | 11/12/2018 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 11/05/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Christopher L Sassone | 4386593 | 1 | 10/02/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Annamarie Kershaw | 2989038 | 1 | 08/18/2018 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 06/07/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Steven Frost | 2297896 | 1 | 05/10/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Scott Suraf | 5696729 | 1 | 12/11/2017 | Customer Dispute | Denied | $16,346.80 | $0.00 | See FINRA Report |
| Patrick Francis Cusick | 5312345 | 3 | 12/06/2017 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |