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 Ellison | 5231903 | 1 | 03/06/2014 | Customer Dispute | Denied | $8,544.94 | $0.00 | See FINRA Report |
| David Bryan Barnett | 1746235 | 1 | 02/13/2014 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Richard Charles Thomas | 1455306 | 2 | 02/03/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Allen Toy | 4013098 | 2 | 01/30/2014 | Customer Dispute | Settled | $9,886.71 | $0.00 | See FINRA Report |
| James Allen Legg | 2698698 | 11 | 01/07/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Barnes | 5258175 | 1 | 12/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Lynn Badgett | 4311314 | 3 | 12/20/2013 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ryan Paul Fischer | 6107779 | 2 | 12/17/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Francisco Pardo | 2154112 | 1 | 11/15/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Susan Marie Ecker | 4288155 | 1 | 10/17/2013 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |