AVANTAX INVESTMENT SERVICES Tag Archives

There are Recent Customer Complaints with Broker Jay Geaslen in Firm Avantax Investment Services, Inc.

March 16, 2025 | by Staff Attorney

Currently financial advisor Jay Geaslen (Geaslen), currently employed by brokerage firm Avantax Investment Services, Inc. has been subject to at least 3 disclosable events. These events include 2 customer complaints, one tax lien. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on September 30, 2024.

Claimants allege that they were recommended unsuitable investments, including leveraged structed notes and a non-traded REIT, and sustained losses as a result.

Broker Arnold Feldman in Avantax Investment Services, Inc. Firm Has Customer Complaint

February 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arnold Feldman (Feldman), previously associated with Avantax Investment Services, Inc., has at least one disclosable event. These events include one tax lien, alleging that Feldman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 01, 2024.

Without admitting or denying the findings, Feldman consented to the sanctions and to the entry of findings that he certified to the State of New York that he had personally completed 15 hours of continuing education required to renew his state insurance license when, in fact, another person had completed that continuing education on his behalf.

There are Recent Customer Complaints with Broker Kevin Kelly in Firm Avantax Investment Services, Inc.

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kelly (Kelly), currently associated with Avantax Investment Services, Inc., has at least 8 disclosable events. These events include 8 customer complaints, alleging that Kelly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $750,000.00 on December 11, 2024.

Customer alleged the investments she purchased were not suitable.

Avantax Investment Services, Inc. Broker Christopher Kirkland Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Avantax Investment Services, Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Kirkland recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $750,000.00 on December 11, 2024.

Customer alleged the investment she purchased were not suitable.