Nicholas Randolph Radke, Jr. Allegedly Participated in a Private Securities Transaction without Prior Approval from His Member Firm

Nicholas Radke allegedly participated in a private securities transaction without prior approval from his member firm, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC) under review by investor rights attorney Alan Rosca.

Nicholas Radke was also the subject of a $500,0000 lawsuit filed by an Eagle Point, Oregon woman who alleges elder abuse against Curtis Allen, according to a complaint filed in Circuit Court for the County of Klamath. The suit alleges a series of purportedly deceitful financial agreements with Allen, the Complaint states.

Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Nicholas Radke’s alleged private securities transaction. Investors who believe they may have lost money in activity related to Nicholas Radke’s alleged private securities transaction are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Nicholas Radke Barred by FINRA in All Capacities from Association with any FINRA Member

Nicholas Radke, based on the alleged aforementioned behavior, fell under the scope of a FINRA investigation, the AWC notes.

Radke then allegedly failed to provide documents and information requested pursuant to FINRA Rules, the AWC states. Radke, by virtue of the foregoing, allegedly violated FINRA Rules, and therefore, has been barred in all capacities from association with any FINRA member, the AWC reports.

Radke first reportedly became registered with FINRA through a FINRA member firm in July 1995 and was registered with various FINRA member firms until October 2018, including American Independent Securities Group, LLC from May 2011 to May 2018, and in October 2018, Radke voluntarily resigned from MML Investors Services, LLC, according to the aforementioned AWC.

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated, and that Nicholas Radke reportedly consented to the FINRA settlement without admitting to or denying FINRA’s findings.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Nicholas Radke’s alleged private securities transaction. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Nicholas Radke’s alleged private securities transaction may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage.