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 |
|---|---|---|---|---|---|---|---|---|
| Gary Moore Huggett | 5962683 | 1 | 02/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Austin McGrath | 3060849 | 1 | 02/06/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Philip Hewko | 3158481 | 3 | 01/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Roy Triplett | 2953823 | 2 | 01/05/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Betsy Ann Abney | 2677004 | 2 | 12/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Salvatore Di Fazio | 4608571 | 1 | 11/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Allan Ulrich | 1017571 | 3 | 11/17/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vahe Stepanian | 5688161 | 1 | 11/07/2014 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Carmen J Memoli | 3053629 | 1 | 10/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 10/10/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |