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 |
|---|---|---|---|---|---|---|---|---|
| Richard Murphree White | 3110976 | 1 | 08/29/2005 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Frank H Kelly | 2028226 | 6 | 08/18/2005 | Customer Dispute | Settled | $163,480.00 | $0.00 | See FINRA Report |
| Frank H Kelly | 2028226 | 6 | 08/02/2005 | Customer Dispute | Settled | $145,519.00 | $0.00 | See FINRA Report |
| Robert Tim Edgar | 4290259 | 1 | 02/04/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Lyle Kehoe | 3004150 | 1 | 01/25/2005 | Customer Dispute | Settled | $325,000.00 | $0.00 | See FINRA Report |
| Richard Craig Kasprak | 837176 | 2 | 12/20/2004 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Stuart Stein | 1135575 | 2 | 11/18/2003 | Customer Dispute | Settled | $25,440.00 | $0.00 | See FINRA Report |
| Larry David Farish | 2097275 | 3 | 04/03/2003 | Customer Dispute | Settled | $56,371.00 | $0.00 | See FINRA Report |
| Anthony Sebastian Mossa | 2368130 | 1 | 02/14/2003 | Customer Dispute | Settled | $20,595.00 | $0.00 | See FINRA Report |
| Elizabeth Scafa | 4039425 | 1 | 01/03/2003 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |