Last Updated: October 2025 — Hicksville, NY
Here’s what you need to know about Hicksville, NY stockbroker Michael J. Halkitis:
- Name: Michael John Halkitis
- Current Employer: The Rockwell Financial Group, Inc., 240 W. Old Country Rd., Suite 3, Hicksville, NY 11801 (registered since 02/05/2002)
- Prior Firms: AC Financial, Inc. (11/1997–02/1998); May, Davis Group Inc. (10/1996–11/1997); I. A. Rabinowitz & Co. (07/1996–12/1996); Buttonwood Securities, Inc. (05/1995–12/1995); Rickel & Associates, Inc. (04/1995–05/1995); Norfolk Securities Corp. (01/1995–03/1995); Greenway Capital Corp. (09/1994–12/1994); Meyers Pollock Robbins, Inc. (06/1994–09/1994); A.S. Goldmen & Co., Inc. (07/1992–06/1994)
- Other Business Affiliations: M.D. Holdings; Independent Property & Casualty Insurance Broker; Officer, One Nation Apparel LLC
- CRD number: 2246940
- Stockbroker / Financial Advisor: Yes — registered with FINRA; multiple principal and representative approvals (Series 24, 27, 4, 51; Series 7; SIE; Series 63; Series 99TO)
- Can Broker be Sued in FINRA: Yes
- Sanctioned by Securities Regulators: Yes
- Discharged by a Prior Employer: Yes
- Highest Award or Settlement: $63,693
If you’ve sustained damages from Mr. Halkitis, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Michael J. Halkitis As Your Stockbroker?
- FINRA Arbitration (Award) — Case No. 22-00177. A customer filed in January 2022 alleging breach of fiduciary duty, violations of FINRA/NYSE rules, breach of contract, negligence, failure to supervise, and violations of Florida securities law, naming The Rockwell Financial Group, Inc. An award issued June 1, 2023 held Mr. Halkitis jointly and severally liable with his company for $63, 693.
- NASD Regulatory Action (AWC) — Dkt. C10010152. Accepted 12/11/2001: $2,500 fine and 5-business-day suspension (01/22/2002–01/28/2002) for failing to disclose outside business on Form U4 (citing Article V of NASD By-Laws, NASD IM-1000-1, and NASD Rule 2110). Employing firm when activity occurred: AC Financial, Inc.
- State of New Hampshire Order — Dkt. COM99-012. Order dated 03/14/2000 imposing a $2,500 administrative fine and rescission of $5,500 + interest for selling unregistered Rockwell Capital units and for a misleading filing concerning Rockwell’s ownership. Also required withdrawal of NH agent application.
Allegations of Broker Misconduct Against Michael J. Halkitis
- Breach of Fiduciary Duty / Best-Interest Failures
- Negligence & Breach of Contract
- Failure to Supervise
- Form U4 Misstatement / OBA Disclosure Violations
- Sale of Unregistered Securities / Misleading State Filing
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Michael John Halkitis, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.