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 |
|---|---|---|---|---|---|---|---|---|
| Elinos Alton Whitlock | 2391313 | 1 | 06/19/2012 | Customer Dispute | Award / Judgment | $35,531.90 | $26,600.00 | See FINRA Report |
| Lacey Elizabeth Houck | 6414097 | 1 | 06/06/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Ryan Whitney | 5069342 | 1 | 06/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Jiser | 5376661 | 1 | 05/23/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roderick Renard Washington | 4378254 | 3 | 03/28/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 03/26/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Vincent Milillo | 4990056 | 3 | 03/15/2012 | Customer Dispute | Settled | $13,207.00 | $0.00 | See FINRA Report |
| Michael Duane Mead | 2569289 | 5 | 03/07/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank T Rapini | 1971645 | 1 | 01/23/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| George Lang | 4208233 | 1 | 01/20/2012 | Customer Dispute | Denied | $18,865.00 | $0.00 | See FINRA Report |