Michael Haffling - Customer Disputes Filed Involving Financial Advisor/Broker Haffling | Recover Losses

Michael Haffling - Customer Disputes Filed Involving Financial Advisor/Broker Haffling

Michael Haffling a/k/a Michael J Haffling CRD #5133150

Update 8/17/21: Goodman & Nekvasil, P.A. Has Filed An Arbitration Claim Involving Michael Haffling.

Michael Haffling a/k/a Michael J Haffling has been a licensed financial advisor with Kalos Capital, Inc. since 2013.

According to Michael Haffling’s BrokerCheck report, two customer disputes have been filed alleging sales practice violations against Michael Haffling.

Customer Dispute 7/6/20:

Claimant alleges that Kalos Capital did not conduct reasonable due diligence and review the issuer's representations and disclosure prior to recommending the investment. This customer dispute was settled for $55,000.

Customer Dispute 4/22/20:

Claimant alleges numerous violations of FINRA rules on the one under-performing security. These allegations are the result of the purchase on a single security on 4/29/2016. The allegations include lack of proper due diligence and high commissions. This customer dispute is pending and seeks $150,000 in damages.

Goodman & Nekvasil, P.A. May Recover Investor Losses

If you lost any money on investments with Michael Haffling, you may be able to recover your losses. If you lost money on investments with Michael Haffling and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Willard Pugh’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.

Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Michael Haffling and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

Some of the information in this blog post was obtained on 10/22/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.