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 |
|---|---|---|---|---|---|---|---|---|
| Shonah Yvette Turner | 4291415 | 3 | 07/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Duane Mead | 2569289 | 5 | 05/28/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 04/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 04/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 04/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeanne Lois Owen | 4309493 | 1 | 09/18/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adrian Trent Podsednik | 4606988 | 2 | 08/10/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leo Bazile | 1400069 | 3 | 07/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leo Bazile | 1400069 | 3 | 05/03/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Renay Polite-Neilly | 4129378 | 1 | 04/03/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |