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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth S Hamada | 2661699 | 2 | 12/01/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Carpenter | 2411429 | 1 | 12/01/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David W Briley | 4108428 | 1 | 11/29/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roseann Cretella | 4457517 | 2 | 11/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barbara Rpse Larson | 3069515 | 1 | 10/27/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Betsy Ann Abney | 2677004 | 2 | 10/07/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 08/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Pamela Moye Manuel | 4124452 | 1 | 08/18/2010 | Customer Dispute | Denied | $42,383.10 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 08/10/2010 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Anthony John Bardi | 1572682 | 1 | 08/09/2010 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |