Dana Matthew Hawkins, of Lexington, South Carolina, a stockbroker registered with Centaurus Financial Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $11,250.00 in damages based upon allegations that Hawkins breached his fiduciary duty and misrepresented material facts in connection with the sale of corporate bonds, CDs, and real estate securities during the time that Hawkins was associated with Centaurus Financial Inc. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-01073 (July 21, 2021).
FINRA Public Disclosure shows that Hawkins is referenced in eleven (11) other customer initiated investment related disputes concerning Hawkins’s conduct while associated with securities broker dealers. On September 21, 2020, a customer initiated an investment related FINRA securities arbitration claim involving Hawkins’s conduct was settled for $82,500 in damages based upon allegations that Hawkins breached his fiduciary duty and made unsuitable recommendations in real estate securities and corporate bonds. FINRA Arbitration No. 19-01504.
On November 30, 2020, a different customer initiated investment related FINRA securities arbitration claim involving Hawkins’s conduct was settled for $14,750.00 in damages based upon allegations that Hawkins made misrepresentations of material facts about real estate securities, certificates of deposit (CDs), and bonds during the period that Hawkins was associated with J.P. Turner and Company. FINRA Arbitration No. 19-03012.
On February 8, 2021, another customer initiated investment related FINRA securities arbitration claim involving Hawkins’s conduct was settled for $55,000.00 in damages based upon allegations that Hawkins misrepresented material facts and breached his fiduciary duty in connection with the sale of corporate bonds, CDs, and real estate securities. FINRA Arbitration No. 19-02632.
On April 28, 2021, a securities arbitration claim involving Hawkins’s conduct was settled for $33,500.00 in damages based upon allegations that Hawkins breached his fiduciary duty and engaged in unsuitable trading in CDs and bonds during the time that Hawkins was associated with Centaurus Financial Inc. FINRA Arbitration No. 20-00415.
Hawkins is the subject of a customer initiated investment related arbitration claim which was settled for $24,000.00 in damages based upon alleged unsuitable trading in REITs, corporate debt products, and CDs during the time that he was associated with Centaurus Financial Inc. FINRA Arbitration No. 18-03150.
SEC has also charged Hawkins in a Complaint alleging that he violated Securities Exchange Act of 1934 Rule 151-1(a) (known as Regulation Best Interest) in connection with “corporate bond” sales while he was registered with Centaurus Financial. Complaint No. C-08829 (Aug. 24, 2023).
Hawkins has been registered with Centaurus Financial Inc. since May 19, 2015.
