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Michael J. Haffling with Kalos Capital, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year

Who is Michael J. Haffling with Kalos Capital, Inc.?

Michael Haffling (CRD #5133150) who is currently registered with Kalos Capital, Inc. and located in Orland Park, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., Michael Haffling was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems.

Kalos Capital, Inc. Broker Misconduct

In his career, Michael Haffling has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Michael Haffling’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Michael Haffling’s current employer Kalos Capital, Inc. for investment losses caused by his alleged misconduct.

Allegations Against Michael Haffling

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • The claimant alleges a failure to do reasonable due diligence in the review of the issuer’s representations and disclosures prior to recommending the private placement investment.
  • The claimant alleges numerous violations of FINRA Rules, failing to do proper due diligence in recommending investments with the highest commissions in conflict with the client’s best interest.

Michael Haffling Red Flags & Your Rights as An Investor

Of course, Michael Haffling did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Hafflingat Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Hafflinghas engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses At Kalos Capital, Inc.

If you have questions about Kalos Capital, Inc. and/or Michael Hafflingand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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