Our Staff has compiled our research into a database of FINRA Broker Disclosures for THE Rockwell Financial Group, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Michael John Halkitis | 2246940 | 4 | 01/26/2023 | Customer Dispute | Award / Judgment | $325,000.00 | $63,693.30 | See FINRA Report |
| Hugh Daniel Dunn | 2219252 | 4 | 02/08/2022 | Customer Dispute | Award / Judgment | $325,000.00 | $67,000.00 | See FINRA Report |
| Hugh Daniel Dunn | 2219252 | 4 | 12/11/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Halkitis | 2246940 | 4 | 12/11/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hugh Daniel Dunn | 2219252 | 4 | 11/02/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Halkitis | 2246940 | 4 | 11/02/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hugh Daniel Dunn | 2219252 | 4 | 04/06/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael John Halkitis | 2246940 | 4 | 02/04/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |