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.
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.
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 The complaint was withdrawn on June 13, 2018.
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.
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 […]
Investors potentially experienced sales practice violations by securities broker James A. Lothspeich [CRD: 4187811, Pocatello, Idaho], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lothspeich worked for Edward Jones from August 21, 2000, to October 10, 2025. Continue reading to learn more about Lothspeich’s disclosures. Edward Jones Client Alleged Sales Practice Violations Regarding […]
Investors may have suffered financial harm by securities broker Robert Christopher Binkowski (also known as Rocky Binkowski) [CRD: 4814174, Carlsbad, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Binkowski has worked for Ameriprise Financial Services LLC since December 4, 2023; previously worked for Arete Wealth Management LLC from March 9, 2015, […]
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