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 |
|---|---|---|---|---|---|---|---|---|
| Gregg Edward Graening | 2577132 | 1 | 01/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandeep Varma | 1926613 | 3 | 01/19/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd David Oberle | 2771323 | 1 | 01/16/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Scott Suraf | 5696729 | 1 | 12/11/2017 | Customer Dispute | Denied | $16,346.80 | $0.00 | See FINRA Report |
| Patrick Francis Cusick | 5312345 | 3 | 12/06/2017 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Neal Robinson | 6285461 | 3 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Pat Mullen | 6394573 | 6 | 10/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jahangir Ali Sultan | 4188015 | 1 | 10/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Harry Cozen | 2788143 | 1 | 10/16/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank H Kelly | 2028226 | 6 | 10/10/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |