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 |
|---|---|---|---|---|---|---|---|---|
| Robert Brian Lowney | 2008992 | 1 | 06/03/2002 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| John W Brimer | 5552784 | 1 | 02/28/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Emmet Gilcrest | 2056866 | 2 | 02/11/2002 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Joseph Krupka | 1606993 | 1 | 11/26/2001 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Jason Anthony Dondero | 5490916 | 2 | 10/23/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronnie Joseph Labarbera | 2138884 | 2 | 06/15/2001 | Customer Dispute | Denied | $7,749.00 | $0.00 | See FINRA Report |
| James Paul Larsen | 5498397 | 1 | 11/07/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ali Kazemi | 1546765 | 3 | 09/12/2000 | Customer Dispute | Settled | $6,717.00 | $0.00 | See FINRA Report |
| Ali Kazemi | 1546765 | 3 | 08/11/2000 | Customer Dispute | Denied | $12,600.00 | $0.00 | See FINRA Report |
| Brian M Sauers | 6375587 | 1 | 06/10/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |