Centaurus Financial Broker, Dana Hawkins, Has Pending Complaint Alleging Unsuitability
The Wolper Law Firm is currently investigating claims against Dana Hawkins, a Financial Advisor at Centaurus Financial in Lexington, South Carolina. Dana Hawkins has been in the securities industry since the 2011 and previously worked at JP Turner. The Wolper Law Firm has been contacted by customers of the Lexington, South Carolina branch office of Centaurus Financial regarding alleged sales practice violations and has a pending arbitration claim.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2018, a customer filed a complaint against Dana Hawkins, alleging that “their investments were inappropriate and unsuitable based on their investment objectives.” The alleged damages are $150,000 and the matter remains pending.
For a full copy of Dana Hawkins’ BrokerCheck report, 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 is interested in speaking with clients of Dana Hawkins as part of its investigation. We can be reached at 800.931.8452 or by email at email@example.com.
The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis. Matt Wolper, the Managing Principal of the Wolper Law Firm, 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.