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 |
|---|---|---|---|---|---|---|---|---|
| James Edward Leger | 1711231 | 1 | 08/04/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Karl Arnold Kebler | 2087851 | 1 | 08/03/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Craig Grodsky | 4481027 | 5 | 07/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark McPherson | 4854847 | 2 | 06/30/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Louis Koltz | 3235009 | 1 | 06/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Craig Grodsky | 4481027 | 5 | 05/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Janice B Graham | 2039382 | 1 | 05/14/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Allen Legg | 2698698 | 11 | 03/30/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ronald Ramos | 6651717 | 1 | 03/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arron Isaac Brisard | 3199772 | 1 | 03/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |