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 B Charlton | 4410333 | 2 | 02/05/2009 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Cheryl Lynn Seward | 4920560 | 1 | 01/26/2009 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Vaughn Frank Holcer | 2438273 | 1 | 01/22/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alan Ray Jones | 5568078 | 1 | 01/16/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Vincent Milillo | 4990056 | 3 | 12/23/2008 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Robert B Charlton | 4410333 | 2 | 12/23/2008 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Troy Jason Goldberg | 2342989 | 1 | 12/11/2008 | Customer Dispute | Award / Judgment | $300,000.00 | $11,500.00 | See FINRA Report |
| Theresa Lynn Badgett | 4311314 | 3 | 11/19/2008 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Pamela Jean Gilkey Slatten | 5045460 | 2 | 11/07/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Roy Dartnell | 4410042 | 1 | 08/04/2008 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |