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 |
|---|---|---|---|---|---|---|---|---|
| Kristi B Bardi | 4117452 | 1 | 08/09/2010 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Thomas Anthony Ferraro | 2209232 | 1 | 06/21/2010 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Antonios Kwangyun Lee | 1762212 | 2 | 06/14/2010 | Customer Dispute | Settled | $27,820.00 | $0.00 | See FINRA Report |
| Michael Simic | 2195753 | 1 | 06/11/2010 | Customer Dispute | Settled | $19,464.90 | $0.00 | See FINRA Report |
| Mark Walter Lindberg | 2302803 | 1 | 06/08/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charlene Ebert Wehring | 2826107 | 1 | 05/19/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ryan Paul Fischer | 6107779 | 2 | 04/30/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott David Shrader | 2782420 | 1 | 04/16/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Paul Cardinale | 2566322 | 1 | 04/08/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronnie Joseph Labarbera | 2138884 | 2 | 02/16/2010 | Customer Dispute | Award / Judgment | $16,452.00 | $0.00 | See FINRA Report |