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 |
|---|---|---|---|---|---|---|---|---|
| Charles Thomas Winn | 4205077 | 2 | 05/26/2023 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Lisa Aileen Pugel | 2506156 | 3 | 05/26/2023 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Archibald William McMichael | 2997111 | 3 | 02/08/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David H Posmantier | 2404165 | 1 | 11/15/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Michael Vincent Milillo | 4990056 | 3 | 12/17/2015 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Thomas Cresap Swigert | 1686025 | 2 | 10/13/2015 | Customer Dispute | Withdrawn | $60,000.00 | $0.00 | See FINRA Report |
| Susan Marie Ecker | 4288155 | 1 | 10/17/2013 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Kenneth S Hamada | 2661699 | 2 | 12/01/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Howard Albert Cohn | 2617907 | 1 | 04/20/2009 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Cary Dwight Rubman | 1443551 | 2 | 09/07/2007 | Customer Dispute | Withdrawn | $40,000.00 | $0.00 | See FINRA Report |