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 Ellis Nebel | 4065730 | 1 | 03/16/2022 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Francesco Genovese | 3271394 | 1 | 02/24/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Lee Escobar | 5743023 | 2 | 02/18/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Shonah Yvette Turner | 4291415 | 3 | 02/02/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Elliott Bushkin | 2051696 | 2 | 01/31/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Patrick Cary Day | 5672586 | 1 | 01/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jaymi Lyn Gates | 2838338 | 1 | 01/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dennis Eugene Vaagen | 4041848 | 1 | 01/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Davin J Carey | 5413012 | 2 | 01/23/2022 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Naudia Reid | 7053530 | 1 | 12/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |