Jason Steven Hawke (Meridian, ID): What Investors Need to Know About the Former D.H. Hill Securities Broker
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Haselkorn & Thibaut, a leading national investment fraud law firm, has opened an investigation into Jason Steven Hawke (CRD #4177415), a former stockbroker based in Meridian, Idaho who was recently employed with D.H. Hill Securities, LLLP. If you worked with Mr. Hawke or suffered investment losses tied to his advice, this report will guide you through his professional and regulatory background, highlight potential red flags, and offer next steps for investors seeking to recover losses.
Who is Jason Steven Hawke?
Jason Steven Hawke, also known as Jason S. Hawke, has worked at several broker-dealers over his career, including:
- D.H. Hill Securities, LLLP (10/2020–08/2025)
- National Securities Corporation (10/2011–03/2019)
- Newbridge Securities Corporation (07/2011–09/2011)
- J.P. Turner & Company, L.L.C. (05/2008–08/2011)
- LPL Financial Corporation (02/2003–05/2008)
- World Group Securities, Inc. (04/2002–02/2003)
- WMA Securities, Inc. (06/2000–04/2002)
He is currently affiliated with Hawke Financial Group, LLC but is not registered as a FINRA broker as of the latest update.
Regulatory History and Industry Examinations
Jason Hawke has successfully passed numerous securities exams including principal, supervisory, and general industry qualifications (such as Series 24, 7, 65/66, and the SIE).
However, a deeper look reveals a history of regulatory sanctions, customer disputes, and employment terminations:
- Regulatory Sanctions: Mr. Hawke has been sanctioned by securities regulators, including a $10,000 fine, a 30-day suspension, and a cease-and-desist order issued by the Idaho Department of Finance in relation to private securities transactions conducted without proper disclosure.
- Employment Separations: He has been discharged or permitted to resign from multiple firms due to policy violations or misconduct allegations.
Customer Complaints & FINRA Arbitrations: A Detailed Review
Transparency regarding customer disputes is essential for investor trust. Here’s a specific breakdown of publicly disclosed customer disputes and arbitration cases involving Jason S. Hawke:
| Date Filed | Broker-Dealer | Allegations | Case Details & Outcome |
|---|---|---|---|
| 03/09/2020 | National Securities Corp. | Suitability of private placement | Settled 10/07/2021 for $45,000 (FINRA Case No. 20-00790) |
| 12/26/2012 | LPL Financial | Unsuitability (Inland Western REIT) | Settled in 2013 for $2,000 (FINRA Case No. 12-03893) |
| 06/13/2011 | J.P. Turner & Co. | Unsuitable investments, fraud, fiduciary breach, violation of securities laws | Settled 06/27/2012 for $25,000 (FINRA Case No. 11-01746) |
| 06/04/2014 | J.P. Turner & Co. | Misrepresentation, unsuitability, negligence, fraud, fiduciary breach | Settled in 2015 for $17,500 (FINRA Case No. 14-01566) |
Further Details:
- Highest Reported Settlement: $50,000
- Current Customer Dispute: Demands damages totaling $200,000
Regulatory Actions & Violations Noted
In addition to FINRA arbitrations, Jason Hawke was the subject of a 2019 regulatory action by the Idaho Department of Finance. He was fined and suspended for participating in undisclosed private securities transactions—a violation of both FINRA Rule 3280 and firm policies. Notably, he failed to obtain written approval for a transaction involving a conservation easement.
Employment Terminations and Disclosures
- D.H. Hill Securities (2025): Discharged for allegedly falsifying a client’s address on account documents. This violated firm procedures and registration requirements.
- Glynn Perryman/National Asset Management (2019): Discharged after failing to notify the firm of private securities transactions.
- J.P. Turner & Company: Permitted to resign due to issues surrounding commission payments on unapproved transactions.
Red Flag Summary for Jason S. Hawke
If you invested with Jason Hawke, here are the key red flags to consider:
- Multiple settlements with investors involving suitability, misrepresentation, and fraud allegations.
- Regulatory discipline for unauthorized private securities transactions.
- Terminations from broker-dealers over compliance violations.
- Current unregistered status with FINRA; he is not licensed to sell securities under Hawke Financial Group, LLC.
How to Check Your Advisor’s Record
For the most up-to-date report on any broker or advisor, always consult FINRA BrokerCheck. You can search using Jason S. Hawke’s name or his CRD# 4177415.
Why This Information Matters for Investors
Why should investors be concerned? The record of multiple settlements, regulatory actions, and terminations suggests repeated suitability and compliance concerns. Even if your losses seem small or you have not made a formal complaint, past regulatory findings and settlements can point to broader patterns.
If you have suffered losses or have concerns about recommendations, it is critical to act quickly—the window for potential recovery through FINRA arbitration or mediation can be limited.
What To Do If You Lost Money with Jason S. Hawke
Haselkorn & Thibaut’s investigation into Jason Hawke’s record is ongoing. If you believe you are a victim of investment losses, you may be eligible to recover damages. Our attorneys offer free, confidential consultations and will review your specific circumstances at no cost.
- Haselkorn & Thibaut is a leading, national investment fraud law firm.
- Over 50 years of collective experience and a 98% success rate.
- Millions recovered for clients—on a “no recovery, no fee” basis.
Time to Act: Get a Free Case Review
If you have concerns about your investments with Jason Hawke, or if you were a client during his time at D.H. Hill Securities, National Securities Corporation, or any of the firms listed above, contact Haselkorn & Thibaut now for a free, private consultation at 1-888-994-8066.
Protect your rights—there is no obligation, and there are no legal fees unless money is recovered for you.
Have questions about your portfolio or suspect wrongdoing? Don’t wait. Reach out today to discuss your options and determine the best next steps for your financial recovery.
Haselkorn & Thibaut – Your partners in investment loss recovery.
