Tag Archives: American Independent Securities Group LLC

AISG Sanctioned By FINRA For Failure To Supervise CMOs

April 18, 2021  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   Comments Off on AISG Sanctioned By FINRA For Failure To Supervise CMOs

American Independent Securities Group LLC (AISG) a securities broker dealer headquartered in Eagle Idaho together with AISG securities principals Ryan Carlson and Nicholas Cioffi have been sanctioned by Financial Industry Regulatory Authority (FINRA) based upon findings that they failed to supervise the sales of collateralized mortgage-backed securities (CMOs) resulting in losses to customers. Letter of […]

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American Independent Securities Broker Barred In Investigation

Nicholas Randolph Radke Jr. of Irvine California a stockbroker formerly employed by American Independent Securities Group LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to provide FINRA with documentation and information in an investigation into accusations of Radke […]

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American Independent Securities Broker Barred For Obstruction

September 27, 2018  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Thomas Joseph Logue Jr. of Hinsdale Illinois a stockbroker formerly employed by American Independent Securities Group LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to provide recorded testimony for FINRA in the course of an investigation into Logue’s […]

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ON Equity Sales Named In Complaint

May 25, 2017  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Glenn Thomas Colangelo, of Salem, Oregon, a stockbroker formerly registered with The O.N. Equity Sales Company, has been named in a customer initiated investment related written complaint, which settled on March 15, 2017, for $300,921.00 in damages based upon allegations that Colangelo failed to act in the customer’s best interest pertaining to the customer’s investment […]

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