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 |
|---|---|---|---|---|---|---|---|---|
| David H Posmantier | 2404165 | 1 | 11/15/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Donald Redfern | 6264425 | 7 | 11/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Beasley | 4777811 | 1 | 11/12/2018 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 11/05/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 11/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amanda Leisy Porter | 6283281 | 1 | 10/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher L Sassone | 4386593 | 1 | 10/02/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jeanne Lois Owen | 4309493 | 1 | 09/18/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Annamarie Kershaw | 2989038 | 1 | 08/18/2018 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Adrian Trent Podsednik | 4606988 | 2 | 08/10/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |