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 |
|---|---|---|---|---|---|---|---|---|
| Lois A Miskinis | 1736604 | 1 | 12/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Garera | 2766252 | 1 | 11/30/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Powell | 1217415 | 1 | 11/16/2015 | Customer Dispute | Settled | $2,015,000.00 | $0.00 | See FINRA Report |
| Jeffrey Craig Grodsky | 4481027 | 5 | 10/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Cresap Swigert | 1686025 | 2 | 10/13/2015 | Customer Dispute | Withdrawn | $60,000.00 | $0.00 | See FINRA Report |
| Justin James Wolfe | 7740501 | 1 | 10/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vlastimir Zivkov | 4455346 | 1 | 09/21/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arlene Hackett | 5734643 | 1 | 09/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Daniel Pound | 5914938 | 1 | 08/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyong H Kim | 2510032 | 1 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See FINRA Report |