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 |
|---|---|---|---|---|---|---|---|---|
| David Allen Shaw | 5042178 | 1 | 05/09/2024 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Peter Maniscalco | 4435025 | 1 | 12/18/2023 | Customer Dispute | Denied | $300,000.00 | $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 |
| Jason Jon Lukz | 5772308 | 1 | 04/03/2023 | Customer Dispute | Denied | $7,300.00 | $0.00 | See FINRA Report |
| Joseph Paul Matoney | 4441940 | 2 | 12/30/2022 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Joseph Paul Matoney | 4441940 | 2 | 12/29/2022 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Freeman | 4585007 | 1 | 10/31/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Raymond McCormack | 6543090 | 1 | 08/19/2022 | Customer Dispute | Denied | $43,745.00 | $0.00 | See FINRA Report |