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 |
|---|---|---|---|---|---|---|---|---|
| Kevin James Larson | 3067781 | 2 | 10/10/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Lisa Aileen Pugel | 2506156 | 3 | 08/13/2014 | Customer Dispute | Settled | $7,297.09 | $0.00 | See FINRA Report |
| Kenneth Allan Ulrich | 1017571 | 3 | 07/24/2014 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Sergio T Rodriguez | 5954885 | 1 | 03/07/2014 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David Bryan Barnett | 1746235 | 1 | 02/13/2014 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Michael Allen Toy | 4013098 | 2 | 01/30/2014 | Customer Dispute | Settled | $9,886.71 | $0.00 | See FINRA Report |
| Theresa Lynn Badgett | 4311314 | 3 | 12/20/2013 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Berge Avedisian | 2750210 | 2 | 08/22/2013 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Michael Wayne Long | 3005659 | 1 | 07/25/2013 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Patrick Francis Cusick | 5312345 | 3 | 07/24/2013 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |