Nicholas Radke – Financial Advisor Nicholas Radke Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Nicholas Radke CRD #2610246
Nicholas Radke was a formerly licensed financial advisor with MML Investors Services, LLC and American Independent Securities Group, LLC. FINRA reports that Nicholas Radke was barred from the securities industry in December 2018. FINRA reports that Nicholas Radke consented to the sanction and to the entry of findings that on October 5, 2018, FINRA staff sent a request to Nicholas Radke for documents and information pursuant to FINRA Rule 8210, to be produced by October 19, 2018. The request was sent in connection with FINRA’s investigation into allegations that Nicholas Radke, among other things, participated in a private securities transaction without prior approval from his firm. According to FINRA, Nicholas Radke did not produce the documents and information by October 19, 2018. FINRA reports that on October 22, 2018, FINRA staff sent a second request to Nicholas Radke for the same documents and information, to be produced by November 5, 2018. FINRA reports that on October 25, 2018, Nicholas Radke requested an extension to November 15, 2018 to respond to the request. According to FINRA, FINRA staff granted the request. FINRA reports that on November 12, 2018, on a call with FINRA staff, Nicholas Radke acknowledged that he received the request and stated that he would not produce the requested documents and information at any time. To date, according to FINRA, Nicholas Radke has not produced the documents and information requested by FINRA staff. According to FINRA, as stated in his call, and by this agreement, Nicholas Radke acknowledges that he received FINRA’s request and will not produce the information requested.
According to Herald & News, a lawsuit has been filed alleging that Nicholas Randolph Radke — a licensed financial advisor and securities broker — and transaction management company Escrow Leaders made a series of deceitful financial agreements.
If you lost any money on investments with Nicholas Radke, you may be able to recover your losses from MML Investors Services, LLC and/or American Independent Securities Group, LLC. This is because MML Investors Services, LLC and American Independent Securities Group, LLC had a duty to supervise Nicholas Radke.
If you lost money on investments with Nicholas Radke and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against MML Investors Services, LLC and/or American Independent Securities Group, LLC concerning Nicholas Radke’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Nicholas Radke and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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