• May 13, 2019
• Centaurus Financial

Dana M. Hawkins is a Financial Advisor at Centaurus Financial, Inc. in Lexington, South Carolina.  Dana Hawkins has been in the securities industry since 2011 and previously worked at J.P. Turner & Company, LLC.

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Dana Hawkins is the subject of three pending customer complaints alleging: 

• February 2019 – “Customer primarily alleges that the financial advisor recommended unsuitable investments and several other allegations associated therewith from late 2013 to early 2019.”  The customer alleges $253,757 in damages.
• December 2018 – “Customer primarily alleges that the financial advisor recommended unsuitable investments and several other allegations associated therewith.”  Alleged damages are $336,130.
• September 2018 – “Customers allege their investments were inappropriate and unsuitable based on their investment objectives.”  The customer alleges $150,000 in damages. 

For a copy of Dana Hawkins’ CRD, click https://brokercheck.finra.org/individual/summary/5731136#disclosuresSection.

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients.  To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.  

The Wolper Law Firm, P.A. represents investors nationwide in securities litigation and arbitration on a contingency fee basis.  Matt Wolper, the Managing Principal of the Wolper Law Firm, P.A., is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities.  Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.  We can be reached at 800.931.8452 or by email at mwolper@wolperlawfirm.com.