Filak et al v. Avantax Advisory Services Inc et al
| Michael Filak and Carolyn Filak |
| National Financial Services LLC, Avantax Advisory Services Inc and Avantax Investment Services Inc |
| 3:2026cv02573 |
| August 3, 2026 |
| U.S. District Court for the Northern District of Texas |
| Brantley Starr |
| Torts/Pers Prop: Other Fraud |
| 28 U.S.C. § 1332 Diversity-Other Contract |
| Plaintiff |
Docket Report
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This docket was last retrieved on September 29, 2026. A more recent docket listing may be available from PACER.
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Filing 33
ELECTRONIC ORDER granting #30 Application for Admission Pro Hac Vice of Marley Ann Brumme. Important Reminder: Unless excused for cause, an attorney who is not an ECF user must register within 14 days of the date the attorney appears in a case pursuant to LR 5.1(f) and LCrR 49.2(g). (Ordered by Judge Brantley Starr on 9/29/2026) (chmb)
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Filing 32
ELECTRONIC ORDER granting #29 Application for Admission Pro Hac Vice of Eben P. Colby. Important Reminder: Unless excused for cause, an attorney who is not an ECF user must register within 14 days of the date the attorney appears in a case pursuant to LR 5.1(f) and LCrR 49.2(g). (Ordered by Judge Brantley Starr on 9/29/2026) (chmb)
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Filing 31
ELECTRONIC ORDER granting #28 Application for Admission Pro Hac Vice of James R. Carroll. Important Reminder: Unless excused for cause, an attorney who is not an ECF user must register within 14 days of the date the attorney appears in a case pursuant to LR 5.1(f) and LCrR 49.2(g). (Ordered by Judge Brantley Starr on 9/29/2026) (chmb)
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| Filing 30 Application for Admission Pro Hac Vice with Certificate of Good Standing (Filing fee $100; Receipt number ATXNDC-16826961) filed by National Financial Services LLC (Attachments: #1 Certificate of Good Standing)Attorney Marley Brumme added to party National Financial Services LLC(pty:dft) (Brumme, Marley) |
| Filing 29 Application for Admission Pro Hac Vice with Certificate of Good Standing (Filing fee $100; Receipt number ATXNDC-16826893) filed by National Financial Services LLC (Attachments: #1 Certificate of Good Standing)Attorney Eben Colby added to party National Financial Services LLC(pty:dft) (Colby, Eben) |
| Filing 28 Application for Admission Pro Hac Vice with Certificate of Good Standing (Filing fee $100; Receipt number ATXNDC-16826809) filed by National Financial Services LLC (Attachments: #1 Certificate of Good Standing)Attorney James R Carroll added to party National Financial Services LLC(pty:dft) (Carroll, James) |
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Filing 27
ELECTRONIC ORDER granting #26 Application for Admission Pro Hac Vice of Debra Bogo-Ernst. Important Reminder: Unless excused for cause, an attorney who is not an ECF user must register within 14 days of the date the attorney appears in a case pursuant to LR 5.1(f) and LCrR 49.2(g). (Ordered by Judge Brantley Starr on 9/7/2026) (chmb)
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| Filing 26 Application for Admission Pro Hac Vice with Certificate of Good Standing for Attorney Debra Bogo-Ernst (Filing fee $100; Receipt number ATXNDC-16764365) filed by Avantax Advisory Services Inc, Avantax Investment Services Inc (Attachments: #1 Certificate of Good Standing, #2 Proposed Order) (Schmidt, Grant) |
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Filing 25
ELECTRONIC ORDER. Before the Court is Defendants Unopposed Motion to (1) Extend Defendants Deadline to Respond to the Complaint and (2) Set Briefing Schedule. (Doc. #21 ). Having considered the motion, and its unopposed nature, the Court GRANTS it. The schedule is as follows: 1. Defendants deadline to move, answer or otherwise respond to the Complaint is October 19, 2026; 2. Plaintiffs deadline to file their opposition to any response or motions is December 3, 2026; 3. Defendants replies are due December 23, 2026. (Ordered by Judge Brantley Starr on 8/31/2026) (chmb)
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Filing 24
ELECTRONIC ORDER: The Court's order for Plaintiffs to appoint local counsel, in accordance with Local Rule 83.10, by September 8, 2026 is hereby VACATED. (Ordered by Judge Brantley Starr on 8/31/2026) (chmb)
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| Filing 23 NOTICE of Attorney Appearance by Austin Edward Saathoff on behalf of National Financial Services LLC. (Filer confirms contact info in ECF is current.) (Saathoff, Austin) |
| Filing 22 NOTICE of Attorney Appearance by Thomas M Melsheimer on behalf of National Financial Services LLC. (Filer confirms contact info in ECF is current.) (Melsheimer, Thomas) |
| Filing 21 Unopposed MOTION to Extend Time For Defendant's Response to Complaint & To Set Briefing Schedule filed by National Financial Services LLC (Attachments: #1 Proposed Order)Attorney Thomas M Melsheimer added to party National Financial Services LLC(pty:dft) (Melsheimer, Thomas) |
| Filing 20 NOTICE of Attorney Appearance by Grant Kojis Schmidt on behalf of Avantax Advisory Services Inc, Avantax Investment Services Inc. (Filer confirms contact info in ECF is current.) (Schmidt, Grant) |
| Filing 19 SUMMONS Returned Executed as to Avantax Investment Services Inc ; served on 8/13/2026. (Gentile, Angelica) |
| Filing 18 SUMMONS Returned Executed as to Avantax Advisory Services Inc ; served on 8/13/2026. (Gentile, Angelica) |
| Filing 17 SUMMONS Returned Executed as to National Financial Services LLC ; served on 8/12/2026. (Gentile, Angelica) |
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Filing 16
ELECTRONIC ORDER granting #11 Application for Admission Pro Hac Vice of Alex Kaplan. Important Reminder: Unless excused for cause, an attorney who is not an ECF user must register within 14 days of the date the attorney appears in a case pursuant to LR 5.1(f) and LCrR 49.2(g). (Ordered by Judge Brantley Starr on 8/10/2026) (chmb)
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Filing 15
ELECTRONIC ORDER granting #10 Application for Admission Pro Hac Vice of Andrew T. Rees. Important Reminder: Unless excused for cause, an attorney who is not an ECF user must register within 14 days of the date the attorney appears in a case pursuant to LR 5.1(f) and LCrR 49.2(g). (Ordered by Judge Brantley Starr on 8/10/2026) (chmb)
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Filing 14
ELECTRONIC ORDER granting #9 Application for Admission Pro Hac Vice of Alexander C. Cohen. Important Reminder: Unless excused for cause, an attorney who is not an ECF user must register within 14 days of the date the attorney appears in a case pursuant to LR 5.1(f) and LCrR 49.2(g). (Ordered by Judge Brantley Starr on 8/10/2026) (chmb)
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Filing 13
ELECTRONIC ORDER granting #8 Application for Admission Pro Hac Vice of Stephen R. Astley. Important Reminder: Unless excused for cause, an attorney who is not an ECF user must register within 14 days of the date the attorney appears in a case pursuant to LR 5.1(f) and LCrR 49.2(g). (Ordered by Judge Brantley Starr on 8/10/2026) (chmb)
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Filing 12
***VACATED PER 24 ELECTRONIC ORDER*** ELECTRONIC ORDER: The Court ORDERS Plaintiffs to appoint local counsel, in accordance with Local Rule 83.10, by September 8, 2026. (Ordered by Judge Brantley Starr on 8/7/2026) (chmb) Modified on 9/2/2026 (axm).
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| Filing 11 Application for Admission Pro Hac Vice with Certificate of Good Standing (Filing fee $100; Receipt number ATXNDC-16684575) filed by Carolyn Filak, Michael Filak (Attachments: #1 Certificate of Good Standing)Attorney Alex Kaplan added to party Carolyn Filak(pty:pla), Attorney Alex Kaplan added to party Michael Filak(pty:pla) (Kaplan, Alex) |
| Filing 10 Application for Admission Pro Hac Vice with Certificate of Good Standing (Filing fee $100; Receipt number ATXNDC-16684545) filed by Carolyn Filak, Michael Filak (Attachments: #1 Certificate of Good Standing)Attorney Andrew Rees added to party Carolyn Filak(pty:pla), Attorney Andrew Rees added to party Michael Filak(pty:pla) (Rees, Andrew) |
| Filing 9 Application for Admission Pro Hac Vice with Certificate of Good Standing (Filing fee $100; Receipt number ATXNDC-16684485) filed by Carolyn Filak, Michael Filak (Attachments: #1 Certificate of Good Standing)Attorney Alexander Cohen added to party Carolyn Filak(pty:pla), Attorney Alexander Cohen added to party Michael Filak(pty:pla) (Cohen, Alexander) |
| Filing 8 Application for Admission Pro Hac Vice with Certificate of Good Standing (Filing fee $100; Receipt number ATXNDC-16684088) filed by Carolyn Filak, Michael Filak (Attachments: #1 Certificate of Good Standing)Attorney Stephen R Astley added to party Carolyn Filak(pty:pla), Attorney Stephen R Astley added to party Michael Filak(pty:pla) (Astley, Stephen) |
| Filing 7 Summons Issued as to Avantax Advisory Services Inc, Avantax Investment Services Inc, National Financial Services LLC. (kxm) |
| Filing 6 New Case Notes: A filing fee has been paid. Pursuant to Misc. Order 6, Plaintiff is provided the Notice of Right to Consent to Proceed Before A U.S. Magistrate Judge (Judge Rutherford). Clerk to provide copy to plaintiff if not received electronically. (kxm) |
| Filing 5 CERTIFICATE OF INTERESTED PERSONS/DISCLOSURE STATEMENT by Carolyn Filak, Michael Filak. (Clerk QC note: Affiliate entry indicated). (Gentile, Angelica) |
| Filing 4 Request for Clerk to issue Summons filed by Carolyn Filak, Michael Filak. (Gentile, Angelica) |
| Filing 3 Request for Clerk to issue Summons filed by Carolyn Filak, Michael Filak. (Gentile, Angelica) |
| Filing 2 Request for Clerk to issue Summons filed by Carolyn Filak, Michael Filak. (Gentile, Angelica) |
| Filing 1 COMPLAINT WITH JURY DEMAND against Avantax Advisory Services, Inc., Avantax Investment Services, Inc., National Financial Services LLC filed by Michael Filak, Carolyn Filak. (Filing fee $405; Receipt number ATXNDC-16672252) Plaintiff will submit summons(es) for issuance. In each Notice of Electronic Filing, the judge assignment is indicated, and a link to the # Judges Copy Requirements and # Judge Specific Requirements is provided. The court reminds the filer that any required copy of this and future documents must be delivered to the judge, in the manner prescribed, within three business days of filing. Unless exempted, attorneys who are not admitted to practice in the Northern District of Texas must seek admission promptly. Forms, instructions, and exemption information may be found at www.txnd.uscourts.gov, or by clicking here: # Attorney Information - Bar Membership. If admission requirements are not satisfied within 21 days, the clerk will notify the presiding judge. (Attachments: #1 Cover Sheet) (Gentile, Angelica) |
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