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 |
|---|---|---|---|---|---|---|---|---|
| Gerald Berger | 2700691 | 1 | 12/28/2011 | Customer Dispute | Settled | $25,638.90 | $0.00 | See FINRA Report |
| Larry Milton Ware | 3053841 | 3 | 12/15/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Archibald William McMichael | 2997111 | 3 | 12/12/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Allen Hyma | 1900119 | 2 | 11/22/2011 | Customer Dispute | Settled | $1,550,000.00 | $0.00 | See FINRA Report |
| Colton James Willis | 3218530 | 1 | 11/16/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Anthony Culhane | 2832566 | 1 | 08/09/2011 | Customer Dispute | Settled | $664,869.00 | $0.00 | See FINRA Report |
| Steven Douglas | 2834618 | 1 | 08/04/2011 | Customer Dispute | Award / Judgment | $150,000.00 | $680,041.00 | See FINRA Report |
| Dana Eric Weddle | 2847400 | 1 | 07/05/2011 | Customer Dispute | Settled | $54,475.00 | $0.00 | See FINRA Report |
| James Allen Legg | 2698698 | 11 | 06/17/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Joseph Musser | 2152088 | 2 | 06/16/2011 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |