Philip Tom Tied To Hohimer Wealth Management Investor Complaint About Unauthorized Trading

Investors apparently complained about securities broker Philip Duane Tom [CRD: 1110768, Seattle, Washington], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tom worked for RBC Capital Markets LLC from April 29, 2015, to July 10, 2025. Investors are encouraged to continue reading to find out more about Tom’s disclosures.

Hohimer Wealth Client Accused Tom Of Unauthorized Trading And Failure To Follow Instructions

Particularly, on April 22, 2026, a Hohimer Wealth Management client filed a complaint about Philip Tom. Mainly, the client alleged that Tom engaged in unauthorized trading and failed to follow instructions. For this reason, the client allegedly sustained damages associated with stocks. As a result, the client requested $500,000 in compensation from Hohimer Wealth Management or Tom. The complaint remains pending. Hohimer Wealth Management and Tom deny the allegations.

Philip Tom Disclosed Sales Practice Violation Allegations By RBC Client

Also, a client of RBC Capital Markets contested Tom’s sales practices, according to a complaint dated June 13, 2018. Allegedly, Tom recommended risky investments involving options. It appears that Tom allegedly caused the client to sustain damages. Therefore, the client sought compensation from RBC Capital Markets or Tom in the amount of $5,000 in this matter. The complaint was withdrawn on June 13, 2018.

Have You Made Investments Through Financial Advisor / Securities Broker Tom?

Do you need guidance on any investment losses relating to Philip Tom? Get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the US. Also, our securities lawyers handle cases on a contingency fee arrangement and advance all costs. Tom and brokerage firms Tom worked for deny accusations of sales practice violations.