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.
On August 6, 2026, a customer filed a $400,000 FINRA arbitration naming Chad McQuade (CRD 5436281) and Northwestern Mutual. The claim involves outside, third-party real estate investments. It is pending, and McQuade disputes it in a written response.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
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