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 |
|---|---|---|---|---|---|---|---|---|
| Mark Allen Hyma | 1900119 | 2 | 07/28/2008 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Joseph Edward Carollo | 4015980 | 2 | 07/08/2008 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Robert Brian Eder | 1834212 | 1 | 06/18/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rene Stuart Randel | 4208604 | 2 | 06/06/2008 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Roderick Renard Washington | 4378254 | 3 | 06/02/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Franklin Richardson | 721293 | 7 | 04/25/2008 | Customer Dispute | Denied | $32,620.10 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 04/25/2008 | Customer Dispute | Denied | $32,620.10 | $0.00 | See FINRA Report |
| Bret David Laporte | 4733385 | 1 | 03/16/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stuart Stein | 1135575 | 2 | 02/08/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin William Crowley | 1445885 | 2 | 01/15/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |