Steve Netzel, Formerly of Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations

Steven Netzel is the subject of a customer dispute seeking $300,000 in damages.

The Sonn Law Group is investigating allegations that Steve Netzel made unsuitable recommendations. Under FINRA Rules, brokerage firms are liable for their brokers’ misconduct or negligence and investors may be able to their investment through FINRA arbitration. Contact Sonn Law Group today or call us at 866–827–3202 for a free consultation.

Steve Netzel (CRD#: 2863170) was formerly a registered representative for Kalos Capital from 2013 until 2016. He was named in a customer dispute in October 2019. The claimant is alleging unsuitable recommendations and seeking $300,000 in damages. Netzel has one other disclosure on his BrokerCheck report.

• March 2012— The Arizona Corporation Commission Securities Division alleged that Netzel violated A.R.S. 44–1841 by offering or selling securities that were neither registered nor exempt from registration and that Netzel violated A.R.S. 44–1842 by offering or selling securities while neither registered as a dealer or salesman nor exempt from registeration. Netzel was ordered to cease and desist and to pay a $10,000 fine.

Jeffrey R. Sonn is an experienced investor losses attorney. If you suffered losses because a financial professional committed acts in violation of FINRA Rules, Mr. Sonn will protect your rights and interests. Please do not hesitate to contact the Sonn Law Group today for a free review of your claim.