Kevin Lawrence Kelly, of Atlanta, Georgia, a stockbroker registered with Avantax Investment Services Inc., is the subject of a customer initiated investment related complaint filed on June 27, 2024, in which the customer requested damages based upon alleged the unsuitable investment recommendation of structured notes when Kelly was associated with Avantax Investment Services Inc. Financial…
Christopher Nelson Kirkland of Atlanta, Georgia, a stockbroker registered with Avantax Investment Services Inc., was the subject of a customer initiated investment related complaint that was settled on January 17, 2024, for $284,000.00 in damages based upon allegations that Kirkland made the unsuitable investment recommendation of structured notes during the time that Kirkland was associated…
Walter Paul Shoczolek III (also known as Walter Paul Shoczolek), of Cornelius, North Carolina, a stockbroker registered with Avantax Investment Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $500,000.00 in damages based upon allegations that Shoczolek made unsuitable investment recommendations in mutual funds…
Virgil Arthur Biggs, of Saranac, Michigan, a stockbroker registered with Avantax Investment Services Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $80,000.00 in damages based upon allegations that Biggs made unsuitable recommendations of over-the-counter equities and direct investments when Biggs was…
Lowell Vincent Kruger of Bloomington, Minnesota, a stockbroker registered with Avantax Investment Services Inc., is the subject of a customer initiated investment related complaint filed on December 28, 2022, in which the customer requested compensation based upon allegations that Kruger made unsuitable recommendations of variable annuities during the time that Kruger was associated with Avantax…
Thomas H. Laws of Silver City, New Mexico, a stockbroker registered with Avantax Investment Services, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $65,000.00 in damages based upon allegations that Laws misappropriated funds and made unsuitable recommendations of direct investments (DPPs and LPs) when Laws was…