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 |
|---|---|---|---|---|---|---|---|---|
| G Steve Costello | 4131068 | 4 | 09/04/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Berge Avedisian | 2750210 | 2 | 08/22/2013 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Michael Wayne Long | 3005659 | 1 | 07/25/2013 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Patrick Francis Cusick | 5312345 | 3 | 07/24/2013 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Cheryl K David | 4662227 | 1 | 07/08/2013 | Customer Dispute | Award / Judgment | $35,531.90 | $26,600.00 | See FINRA Report |
| Joseph Edward Carollo | 4015980 | 2 | 06/25/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Pamela Joelle Soult | 4510465 | 1 | 06/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Ariola | 2143300 | 1 | 05/16/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles William Somers | 4601493 | 1 | 04/26/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay Lindsay Geaslen | 2124281 | 3 | 03/25/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |