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 |
|---|---|---|---|---|---|---|---|---|
| Mark McPherson | 4854847 | 2 | 03/09/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tiffany Elaine Franklin | 6644546 | 1 | 03/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brad Matthew Allphin | 7284923 | 3 | 02/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leo Bazile | 1400069 | 3 | 02/26/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel William Stott | 1764808 | 1 | 01/31/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Salvatore Alfred Mondello | 5996897 | 1 | 01/23/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Allen Toy | 4013098 | 2 | 01/11/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Glen Louis Pallas | 2216766 | 1 | 12/01/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew John Fox | 5101479 | 2 | 10/21/2016 | Customer Dispute | Denied | $13,114.70 | $0.00 | See FINRA Report |
| Michael Jerome Johnson | 2879962 | 1 | 09/23/2016 | Customer Dispute | Settled | $7,460.00 | $0.00 | See FINRA Report |