STEVEN LEE SHIPE at AVANTAX INVESTMENT SERVICES, INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5400064
STEVEN LEE SHIPE is an Investment Adviser, associated with AVANTAX INVESTMENT SERVICES, INC. located at MAURERTOWN, VA. STEVEN SHIPE’s Central Registration Depository (CRD) number is 5400064 and the FINRA Profile can be found at –

Disclosure #1 for STEVEN SHIPE

    • Event Date: 7/17/2011
    • Disclosure Type: Judgment / Lien
    • Resolution:
    • Judgment/Lien Amount: $8,206.98
    • Judgment/Lien Type: Civil

Should I file a FINRA complaint against brokers like STEVEN LEE SHIPE?

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Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by STEVEN LEE SHIPE’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About STEVEN LEE SHIPE

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Where can I find more details about STEVEN SHIPE's Investment Firm?

Visit to read a detailed report for AVANTAX INVESTMENT SERVICES, INC.

Are there any disclosures, allegations or complaints filed against STEVEN LEE SHIPE?

Yes. There are disclosures, allegations, or complaints filed against STEVEN LEE SHIPE. Click here to view all details

Where can I download a detailed FINRA report for STEVEN SHIPE?

Click here to download a detailed FINRA report for STEVEN SHIPE

Is it safe to do business with STEVEN LEE SHIPE?

We’re not sure. Please research STEVEN SHIPE’s disclosures, allegations and complaints before taking a decision

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