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 |
|---|---|---|---|---|---|---|---|---|
| Randall Wayne Vantassell | 3251160 | 1 | 05/12/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan Michael Gnoinski | 4416094 | 2 | 05/04/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Veronica Cordova | 3043875 | 2 | 04/26/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael John Miller | 4003539 | 1 | 03/18/2004 | Customer Dispute | Award / Judgment | $0.00 | $131,441.00 | See FINRA Report |
| Gerald W Davidson | 2875663 | 1 | 01/05/2004 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Stuart Stein | 1135575 | 2 | 11/18/2003 | Customer Dispute | Settled | $25,440.00 | $0.00 | See FINRA Report |
| Samuel Ray Davis | 1612429 | 1 | 10/23/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bruce A Troutman | 4885745 | 3 | 06/26/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth S Hamada | 2661699 | 2 | 06/10/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry David Farish | 2097275 | 3 | 04/03/2003 | Customer Dispute | Settled | $56,371.00 | $0.00 | See FINRA Report |