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 |
|---|---|---|---|---|---|---|---|---|
| Robert Jeffrey Johnston | 2828033 | 1 | 02/12/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Cresap Swigert | 1686025 | 2 | 10/05/2009 | Customer Dispute | Denied | $22,837.00 | $0.00 | See FINRA Report |
| Nicholas Agostino | 5166683 | 2 | 10/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carol Ronnell Elizabeth | 1815829 | 1 | 09/03/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Patricia Ann Flagg | 3151931 | 1 | 08/24/2009 | Customer Dispute | Denied | $60,159.00 | $0.00 | See FINRA Report |
| Nicholas Agostino | 5166683 | 2 | 08/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Franklin Richardson | 721293 | 7 | 07/29/2009 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Ahmed H Zaki | 1776881 | 2 | 07/28/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pamela Jean Gilkey Slatten | 5045460 | 2 | 07/08/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Alan Strojny | 1890091 | 2 | 05/26/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |