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 |
|---|---|---|---|---|---|---|---|---|
| Edward Joseph Ryan | 2270069 | 1 | 03/21/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ali Kazemi | 1546765 | 3 | 11/01/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Thomas Winn | 4205077 | 2 | 10/19/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Robert Buiter | 2768296 | 2 | 09/14/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| David Donald Redfern | 6264425 | 7 | 07/01/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Barry Graves | 2361457 | 2 | 06/22/1999 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Angelo Joseph Coppolino | 3003467 | 1 | 05/19/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sandeep Varma | 1926613 | 3 | 03/05/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Graham Lybbert | 2298825 | 3 | 12/08/1998 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Patrick Francis Cusick | 5312345 | 3 | 10/15/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |