Bob Thomas Terminated from Avantax Investment Services in Bangor


MDF Law PLLC is interested in speaking with current and former clients of Bob Thomas and Avantax Investment Services.  Bob Thomas and Thomas Tax and Financial Services are based in Bangor, ME.  This information for this article is based on public disclosures from the Financial Industry Regulatory Authority, or FINRA.  A full copy of Mr. […]

Avantax Investment Services Settles Dispute Involving Brian Stephens for $275,000

Processed with VSCO with s2 preset

Brian Stephens (CRD #: 2777382), a broker registered with Avantax Investment Services in Baytown, Texas, has settled an investor dispute, according to his BrokerCheck record, accessed on January 11, 2022. Keep reading to learn the details of this dispute. Complaint Concerned Unauthorized Trading On January 3, 2021, an investor alleged that Brian Stephens placed unauthorized […]