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 |
|---|---|---|---|---|---|---|---|---|
| David Brian Test | 2341570 | 5 | 01/19/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Paul Matoney | 4441940 | 2 | 12/30/2022 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Joseph Paul Matoney | 4441940 | 2 | 12/29/2022 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Saul Isaac Rothberger | 2914820 | 1 | 11/30/2022 | Customer Dispute | Pending | $4,000,000.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Freeman | 4585007 | 1 | 10/31/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Raymond McCormack | 6543090 | 1 | 08/19/2022 | Customer Dispute | Denied | $43,745.00 | $0.00 | See FINRA Report |
| Judith S Wingo | 1766884 | 1 | 07/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Adam Monheit | 4586091 | 1 | 07/13/2022 | Customer Dispute | Denied | $51,000.00 | $0.00 | See FINRA Report |
| Daniel Raymond Cuddy | 2286154 | 2 | 06/16/2022 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| James Michael Ditzler | 6086230 | 1 | 04/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |