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 |
|---|---|---|---|---|---|---|---|---|
| James Michael Bruno | 1531618 | 3 | 07/06/2006 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| James Michael Bruno | 1531618 | 3 | 07/06/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Duane Mead | 2569289 | 5 | 06/06/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bruce A Troutman | 4885745 | 3 | 02/16/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roland Emmanuel King | 2631682 | 1 | 01/26/2006 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Terence Lee Reed | 723492 | 1 | 01/06/2006 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Creed Donnell Taylor | 2753638 | 1 | 09/15/2005 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Richard Murphree White | 3110976 | 1 | 08/29/2005 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Frank H Kelly | 2028226 | 6 | 08/18/2005 | Customer Dispute | Settled | $163,480.00 | $0.00 | See FINRA Report |
| Frank H Kelly | 2028226 | 6 | 08/02/2005 | Customer Dispute | Settled | $145,519.00 | $0.00 | See FINRA Report |