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.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
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