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 Allen Legg | 2698698 | 11 | 03/20/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Janet Lynn Marsey | 1944133 | 2 | 02/19/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ahmed H Zaki | 1776881 | 2 | 02/06/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Clay Smith | 2399310 | 1 | 01/10/2013 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Dylan Gregory Levey | 4297808 | 2 | 11/27/2012 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Ahmad Bashir Husami | 2362818 | 1 | 10/25/2012 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Atabu Erastus Otobo | 5409403 | 1 | 09/20/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Philip Hewko | 3158481 | 3 | 09/19/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Eugene Winemiller | 2738609 | 2 | 08/28/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roseann Cretella | 4457517 | 2 | 08/11/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |