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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Aileen Pugel | 2506156 | 3 | 08/13/2014 | Customer Dispute | Settled | $7,297.09 | $0.00 | See FINRA Report |
| Michael Lee Escobar | 5743023 | 2 | 07/29/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Allan Ulrich | 1017571 | 3 | 07/24/2014 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Brian Thomas Schmidt | 3014443 | 2 | 06/10/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Thomas Schmidt | 3014443 | 2 | 06/10/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Louis Joseph Gallipoli | 2835674 | 2 | 04/23/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tonya Gay Fulcher | 2356493 | 1 | 04/18/2014 | Customer Dispute | Closed-No Action | $76,205.90 | $0.00 | See FINRA Report |
| Justin Conrad Scott | 4704918 | 1 | 04/18/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Allen Legg | 2698698 | 11 | 04/14/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sergio T Rodriguez | 5954885 | 1 | 03/07/2014 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |