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 |
|---|---|---|---|---|---|---|---|---|
| Brent Christopher Eugenides | 1938912 | 1 | 02/23/2009 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Robert B Charlton | 4410333 | 2 | 02/05/2009 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Thomas Roy Dartnell | 4410042 | 1 | 08/04/2008 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Rene Stuart Randel | 4208604 | 2 | 06/06/2008 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Brent Dee Larsen | 1986785 | 1 | 01/19/2007 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 08/01/2006 | Customer Dispute | Settled | $87,639.50 | $0.00 | See FINRA Report |
| James Michael Bruno | 1531618 | 3 | 07/06/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roland Emmanuel King | 2631682 | 1 | 01/26/2006 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Terence Lee Reed | 723492 | 1 | 01/06/2006 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Creed Donnell Taylor | 2753638 | 1 | 09/15/2005 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |