American Independent Securities Group Tag Archives

There are Recent Customer Complaints with Broker Nicole Bertsch in Firm American Independent Securities Group, LLC

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Bertsch (Bertsch), previously associated with American Independent Securities Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bertsch recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,666.67 on March 05, 2020.

Clients alleged breach of fiduciary duty, misrepresentation, violation of Indiana State Securities Laws

There are Recent Customer Complaints with Broker Thomas Logue in Firm American Independent Securities Group, LLC

July 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Logue (Logue), previously associated with American Independent Securities Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Logue recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,588,000.00 on March 26, 2020.

Unsuitable transaction

Advisor Nicholas Radke Barred by Regulator Over Unapproved Products

January 14, 2019 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Nicholas Radke (Radke), formerly associated with MML Investors Services, LLC (MML Investors) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products.

In December 2018 FINRA alleged that Radke consented to the sanction and a bar from the industry because he failed to provide FINRA with requested documents and information in connection with allegations that Radke participated in a private securities transaction without prior approval from his member firm.

The providing of loans or selling of notes and other investments outside of a brokerage firm constitutes impermissible private securities transactions – a practice known in the industry as “selling away”.

At this time it is unclear the nature and scope of Radke’s activities. Radke’s disclosures include outside business activities (OBAs). At this time it is unclear whether the unapproved products involve any of these entities.