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 | 12/15/2021 | Customer Dispute | Settled | $18,221.10 | $0.00 | See FINRA Report |
| Virgil Arthur Biggs | 1755904 | 2 | 12/06/2021 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Neil Gerson Schmerling | 4075729 | 1 | 12/06/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| G Steve Costello | 4131068 | 4 | 10/06/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Roy Triplett | 2953823 | 2 | 08/31/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Wayne Patterson | 2131574 | 7 | 08/05/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Brian Test | 2341570 | 5 | 07/27/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tracy Stclair Overstreet | 2301321 | 1 | 05/25/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Wayne Patterson | 2131574 | 7 | 05/21/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Glen Thomas Omanson | 5623072 | 1 | 05/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |