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.
KEVIN CHRISTOPHER MCCARTHY (KEVIN C MCCARTHY) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/7/2026. McCarthy was registered as a broker with MADISON AVENUE SECURITIES LLC of Hialeah, Florida, from 12/04/2007 - 01/30/2026. McCarthy was previously registered both as a broker […]
Investors might have sustained losses due to securities broker William H. Grant [CRD: 4219455, Duluth, Georgia], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Grant has been registered with Merrill Lynch since October 23, 2009, as both a securities broker and financial advisor. Investors are encouraged to continue reading to find […]
Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]
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