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 |
|---|---|---|---|---|---|---|---|---|
| John Emmet Gilcrest | 2056866 | 2 | 01/28/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank J Calise | 3022262 | 2 | 01/27/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Frank J Calise | 3022262 | 2 | 01/27/2020 | Customer Dispute | Denied | $142,250.00 | $0.00 | See FINRA Report |
| Timothy Joseph Clark | 4479035 | 1 | 01/09/2020 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Alan Michael Gnoinski | 4416094 | 2 | 01/07/2020 | Customer Dispute | Closed-No Action | $48,933.90 | $0.00 | See FINRA Report |
| Mary Pat Mullen | 6394573 | 6 | 12/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aderon Alan Napier | 4654167 | 2 | 11/18/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Todd Otto Green | 2708678 | 1 | 11/07/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 10/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jordan Ross Rudick | 7625295 | 1 | 10/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |