Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Tantoco (Tantoco), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tantoco recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on December 20, 2023.
As stated by Independent Financial Group, LLC, the claimant alleges that investment was not in line with client’s stated objectives and risk tolerance.