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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Joseph Hanna | 3088838 | 2 | 05/23/2011 | Customer Dispute | Settled | $5,506.24 | $0.00 | See FINRA Report |
| Harold C Eylward | 2845286 | 1 | 03/30/2011 | Customer Dispute | Settled | $61,500.00 | $0.00 | See FINRA Report |
| Anthony John Bardi | 1572682 | 1 | 08/09/2010 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Kristi B Bardi | 4117452 | 1 | 08/09/2010 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Antonios Kwangyun Lee | 1762212 | 2 | 06/14/2010 | Customer Dispute | Settled | $27,820.00 | $0.00 | See FINRA Report |
| Michael Simic | 2195753 | 1 | 06/11/2010 | Customer Dispute | Settled | $19,464.90 | $0.00 | See FINRA Report |
| Robert Jeffrey Johnston | 2828033 | 1 | 02/12/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carol Ronnell Elizabeth | 1815829 | 1 | 09/03/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Brian A Pecker | 3108457 | 1 | 05/19/2009 | Customer Dispute | Settled | $338,327.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 03/31/2009 | Customer Dispute | Settled | $34,819.40 | $0.00 | See FINRA Report |