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 |
|---|---|---|---|---|---|---|---|---|
| Conrad Ronald Schock III | 4596222 | 2 | 08/08/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Alan Garera | 2766252 | 1 | 11/30/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark McPherson | 4854847 | 2 | 06/30/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 03/30/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Philip Hewko | 3158481 | 3 | 01/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Roy Triplett | 2953823 | 2 | 01/05/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 04/14/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 01/07/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| G Steve Costello | 4131068 | 4 | 09/04/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Pamela Joelle Soult | 4510465 | 1 | 06/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |