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 |
|---|---|---|---|---|---|---|---|---|
| Brian Timothy Stephens | 2777382 | 1 | 01/03/2021 | Customer Dispute | Settled | $351,000.00 | $0.00 | See FINRA Report |
| Peter Alan Billingham | 1831074 | 1 | 12/09/2020 | Customer Dispute | Settled | $59,815.00 | $0.00 | See FINRA Report |
| G Steve Costello | 4131068 | 4 | 11/16/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Humberto Javier Rivas | 3159109 | 1 | 10/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Eugene Winemiller | 2738609 | 2 | 10/15/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Kyle Brownlee | 3254746 | 2 | 09/24/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Wayne L Anderson | 5576875 | 2 | 09/15/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Neal Robinson | 6285461 | 3 | 09/11/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Neal Robinson | 6285461 | 3 | 09/11/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Berge Avedisian | 2750210 | 2 | 08/31/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |