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 |
|---|---|---|---|---|---|---|---|---|
| Louis Joseph Gallipoli | 2835674 | 2 | 05/26/2011 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Louis Joseph Gallipoli | 4105915 | 1 | 05/26/2011 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Hanna | 3088838 | 2 | 05/23/2011 | Customer Dispute | Settled | $5,506.24 | $0.00 | See FINRA Report |
| William Faulkner Pilkington | 2693038 | 1 | 05/13/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Allen Legg | 2698698 | 11 | 04/11/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Harold C Eylward | 2845286 | 1 | 03/30/2011 | Customer Dispute | Settled | $61,500.00 | $0.00 | See FINRA Report |
| Larry David Farish | 2097275 | 3 | 02/21/2011 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Albert Joseph Oldakowski | 1578191 | 1 | 02/14/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Randall Kenneth Walker | 1269196 | 1 | 01/01/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Andrew King | 2717034 | 1 | 12/17/2010 | Customer Dispute | Award / Judgment | $1,070,000.00 | $3,185,300.00 | See FINRA Report |