Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Halkitis (Halkitis), currently associated with the Rockwell Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Halkitis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $325,000.00 on January 26, 2023.
I was named as a Control Person of the Firm. No direct allegations we made against me in the Statement of Claim.