Leslie Anthony Netter (CRD #2970557) Has a Criminal Disclosure on FINRA BrokerCheck

Leslie Anthony Netter (CRD #2970557) was previously registered as a broker. We reviewed his FINRA BrokerCheck report on April 15, 2026. It reflects one criminal disclosure. If you invested with Leslie Anthony Netter and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Criminal Charges

Leslie Netter’s FINRA BrokerCheck Report reflects one criminal disclosure. A summary of the disclosure is below:

According to Leslie Netter FINRA BrokerCheck, formal charges were filed on February 9, 2026, in Fulton Superior Court in Fulton County, Georgia, under Case No. 26SC000412. The matter involved one felony count of aggravated assault – family violence and one felony count for possession of a firearm or knife during the commission of or attempt to commit certain felonies. Leslie Netter FINRA BrokerCheck states the aggravated assault charge was amended on February 20, 2026, to simple assault, a misdemeanor. It also states the firearm-related felony charge ended in nolle prosequi, and the amended simple assault charge ended with a negotiated first-offender disposition on February 20, 2026. His statement says the incident involved interpersonal conduct with a third party and was not client-related or sales-practice related.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires brokers and firms to observe high standards of commercial honor and just and equitable principles of trade. A criminal disclosure can raise concerns about judgment, integrity, and whether conduct meets that standard.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires member firms to maintain a supervisory system designed to achieve compliance with securities laws and FINRA rules. When a broker has a reportable criminal matter, firms may face questions about how disclosures are reviewed and how the registered person is supervised.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Leslie Netter:

Is not currently registered as a broker.

Has passed the Securities Industry Essentials (SIE) exam. Leslie Netter has also passed Series 7, Series 65, and Series 63.

Was previously registered with firms that include Morgan Stanley, UBS Financial Services Inc., and Citigroup Global Markets Inc.

Kurta Law Can Help

If you have worked with Leslie Netter and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. Call 877-600-0098 or email info@kurtalawfirm.com for a free, no-obligation case review.

Helpful resources: Securities Attorney | Securities Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. The firm handles securities arbitration and related disputes nationwide. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.