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 |
|---|---|---|---|---|---|---|---|---|
| Gail Annette Barnes | 4576929 | 2 | 10/25/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jared Kellenberger | 6016290 | 2 | 09/13/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cary Dwight Rubman | 1443551 | 2 | 09/07/2007 | Customer Dispute | Withdrawn | $40,000.00 | $0.00 | See FINRA Report |
| Damien Joseph Paumi | 4428223 | 1 | 09/04/2007 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Durlak | 2727864 | 1 | 08/06/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Raymond Cuddy | 2286154 | 2 | 07/23/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael William Meschke | 5975108 | 2 | 07/05/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Shane Riley | 2647803 | 1 | 05/30/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roderick Renard Washington | 4378254 | 3 | 05/30/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Barry Graves | 2361457 | 2 | 04/17/2007 | Customer Dispute | Denied | $9,829.00 | $0.00 | See FINRA Report |