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 |
|---|---|---|---|---|---|---|---|---|
| James Allen Legg | 2698698 | 11 | 03/20/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Janet Lynn Marsey | 1944133 | 2 | 02/19/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ahmed H Zaki | 1776881 | 2 | 02/06/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Philip Hewko | 3158481 | 3 | 09/19/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roseann Cretella | 4457517 | 2 | 08/11/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joshua Ryan Whitney | 5069342 | 1 | 06/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roderick Renard Washington | 4378254 | 3 | 03/28/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 03/26/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Duane Mead | 2569289 | 5 | 03/07/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 06/17/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |