Investors potentially experienced losses due to securities broker Hermogenes-Gil Patrick Tantoco (also known as Patrick Tantoco or Hermongenes Gil Patrick Tantoco) [CRD: 5249850, Honolulu, Hawaii], according to disclosures on FINRA BrokerCheck. It appears that Tantoco worked for Independent Financial Group LLC until December 2016 and has been registered with Osaic Wealth Inc. since March 8, 2019. Keep reading to learn more about the disclosures involving Tantoco and allegations concerning his investment recommendations.
Particularly, on November 20, 2023, a client of Independent Financial Group LLC filed FINRA Arbitration: FINRA Arbitration No. 23-03302 about Patrick Tantoco. The client alleged that Tantoco made unsuitable recommendations. Because of this, the client allegedly sustained damages on real estate investment trusts. Therefore, the client requested $100,000 in compensation from Independent Financial Group LLC or Tantoco. Evidently, this arbitration is pending a resolution.
Specifically, a client of Independent Financial Group LLC contested Patrick Tantoco’s sales practices by filing FINRA Arbitration: FINRA Arbitration No. 23-01159. Allegedly, Tantoco gave unsuitable advice about real estate investment trusts. Therefore, Independent Financial Group LLC opted to settle the matter on April 19, 2024, by compensating the client in the amount of $30,000.
Seeking more information about Patrick Tantoco? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney. Soreide Law Group has recovered losses for investors throughout the US, works on a contingency fee basis, and advances all costs. Tantoco and brokerage firms Tantoco worked for deny any allegations of sales practice violations.
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex […]
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
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