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 |
|---|---|---|---|---|---|---|---|---|
| Toijuan Anthony Bell | 3004468 | 1 | 06/17/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jay Lindsay Geaslen | 2124281 | 3 | 02/24/2005 | Customer Dispute | Withdrawn | $20,899.00 | $0.00 | See FINRA Report |
| Robbie Lynn Ellsbury | 4654361 | 1 | 02/16/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Tim Edgar | 4290259 | 1 | 02/04/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Lyle Kehoe | 3004150 | 1 | 01/25/2005 | Customer Dispute | Settled | $325,000.00 | $0.00 | See FINRA Report |
| Richard Craig Kasprak | 837176 | 2 | 12/20/2004 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Alan Spencer | 1893795 | 1 | 11/11/2004 | Customer Dispute | Denied | $173,544.00 | $0.00 | See FINRA Report |
| Veronica Cordova | 3043875 | 2 | 10/15/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Larry David Farish | 2097275 | 3 | 08/24/2004 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Jason Anthony Dondero | 5490916 | 2 | 06/23/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |