Securities America

There are Recent Customer Complaints with Broker Dennis Zaderaka in Firm Securities America, INC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Zaderaka (Zaderaka), previously associated with Securities America, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zaderaka 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 $175,000.00 on August 06, 2020.

Statement of Claim asserts the client was sold numerous high-commission, complex, risky alternative investments, and multiple illiquid investment products.

There are Recent Customer Complaints with Broker Mark Farnan in Firm Securities America, INC.

June 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Farnan (Farnan), previously associated with Securities America, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Farnan 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 $65,000.00 on August 20, 2020.

Customers allege their account was overly concentrated in alternative investments.

There are Recent Customer Complaints with Broker Robert Kromer in Firm Securities America, INC.

June 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 14, 2026.

Plaintiff alleged claim against RK Retirement Solutions, LLC & Robert Kromer of the following: Negligence, Fraud, Misrepresentation, and Negligent Misrepresentation for specific assets that the plaintiff alleges he was unaware of the risk, illiquid portion of investments and bankruptcy of one of the companies from investments made in 2017, Alleges that RK Retirement Solutions & Robert Kromer tried to misrepresent specific assets to him.

There are Recent Customer Complaints with Broker Mark Farnan in Firm Securities America, INC.

May 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Farnan (Farnan), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Farnan 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 $65,000.00 on August 20, 2020.

Customers allege their account was overly concentrated in alternative investments.

Broker Dennis Zaderaka in Securities America, INC. Firm Has Customer Complaint

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Zaderaka (Zaderaka), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Zaderaka 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 $175,000.00 on August 06, 2020.

Statement of Claim asserts the client was sold numerous high-commission, complex, risky alternative investments, and multiple illiquid investment products.

There are Recent Customer Complaints with Broker Lawrence Vassar in Firm Securities America, INC.

April 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $115,000.00 on December 29, 2020.

Boilerplate allegations include misrepresentation, negligence, unsuitability and breach of fiduciary duty from October 2015 through December 2020

There are Recent Customer Complaints with Broker John Petraglia in Firm Securities America, INC.

March 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 30, 2020.

The claimant alleges violation of FINRA Rule 2110 and 2111, Negligence, Misrepresentation and omissions of material facts and breach of fiduciary duty.

Broker George Kastanis in Securities America, INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Kastanis (Kastanis), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kastanis 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 $150,000.00 on April 14, 2021.

Claimant alleges that the registered representative made unsuitable recommendations.

Broker Jaime Westenbarger in Securities America, INC. Firm Has Customer Complaint

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Westenbarger (Westenbarger), previously associated with Securities America, INC., has at least 5 disclosable events. These events include 3 customer complaints, 2 regulatory events, alleging that Westenbarger 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 $26,000.00 on July 20, 2021.

Claimant alleges their registered representative recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker Adam Anderson in Firm Securities America, INC.

September 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 22, 2023.

Opened accounts in March 2021 using Treasury notes & options. In January 2022, client expressed concerns about losses and long-term term treasures and concerns with advisory fees.