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 |
|---|---|---|---|---|---|---|---|---|
| Leo Bazile | 1400069 | 3 | 07/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mary Pat Mullen | 6394573 | 6 | 07/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 06/07/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wesley Shannon Clark | 2360232 | 1 | 05/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Steven Frost | 2297896 | 1 | 05/10/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Leo Bazile | 1400069 | 3 | 05/03/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Renay Polite-Neilly | 4129378 | 1 | 04/03/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Craig Grodsky | 4481027 | 5 | 02/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Pat Mullen | 6394573 | 6 | 02/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| G Steve Costello | 4131068 | 4 | 02/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |