Oregon Regulator Sanctions Nicholas Radke

Soreide Law Group is investigating possible investor claims against Nicholas Radke (also known as Randy Radke Jr.) (CRD: 2610246, Irvine, California). Notably, an Oregon regulator sanctioned the securities broker, who worked for American Independent Securities Group LLC. Allegedly, Radke made misrepresentations and omissions of material fact. Here is a brief summary of the regulatory allegations against Radke.

Oregon Regulator Sanctions Radke For Misrepresentation

Evidently, on May 11, 2021, Oregon issued Case: S-19-0040 sanctioning Nicholas Radke for infractions. Specifically, Radke was fined $60,000.00 and ordered to cease and desist any violation of regulatory rules or laws in Oregon. Particularly, the regulator alleged that Radke made misrepresentations and omissions of material fact at a time that he sold notes to a former American Independent Securities Group LLC client. Supposedly, Radke took funds from the client’s credit union account following the client’s death.

FINRA Sanctions Nicholas Radke For Failure To Provide Information

Also, on December 6, 2018, FINRA issued Case: 2018059899901 sanctioning Nicholas Radke for infractions. Specifically, Radke was barred as a securities broker, which means he is not permitted by FINRA to work with any FINRA-member firms as a securities broker or in other capacities. Namely, FINRA alleged that Radke failed to provide information and documents to FINRA when it investigated possible FINRA rule violations concerning private securities transactions when Radke worked for MML Investors Services LLC and American Independent Securities Group LLC.

Radke Employment Information

• Radke worked for MML Investor Services LLC in Irvine, CA, as a securities broker from June 2018 to October 2018.
• Radke worked for American Independent Securities Group LLC in Lake Oswego, OR, as a securities broker from May 2011 to May 2018.

Did American Independent Securities Group LLC Securities Broker Nicholas Radke Cause You To Experience Damages?

Did you sustain damages by investing with Nicholas Radke? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has helped recover money for hundreds of investors throughout the United States, represents investors like you on a contingency fee basis and advances all costs. Radke and brokerage firms Radke worked for deny any and all allegations of sales practice violations.