Michael Hawkes: US Bancorp Advisor Faces $80K Complaint

A recent investor complaint against Roseville, California financial advisor Michael Hawkes (CRD# 2993230) alleges that his trading resulted in five-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with U.S. Bancorp Advisors.

Mr. Hawkes’s BrokerCheck report discloses two investor complaints. The most recent, filed in July 2026, alleges that as a representative of U.S. Bancorp Advisors, he engaged in trading activity “far beyond what was appropriate” for the customer’s profile. The pending complaint alleges damages of $80,000.

An earlier investor complaint, filed in March 2010, alleged that as a representative of Wells Fargo Investments, he misrepresented the features of a charitable remainder annuity trust. The complaint reached a settlement of $215,000.

In a statement included with the 2010 complaint’s disclosure, Mr. Hawkes denied wrongdoing. “I did not misrepresent the features of the charitable remainder annuity trust,” he wrote, noting that FINRA recommended no disciplinary action against him.

According to the Financial Industry Regulatory Authority, Michael Ken Hawkes holds 28 years of securities industry experience. Based in Roseville, California, he has been registered as a broker and an investment advisor with U.S. Bancorp Advisors since 2016. His past registrations include BancWest Investment Services, Wells Fargo Investments, WM Financial Services, Wells Fargo Securities, and Dean Witter Reynolds. His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Futures Managed Funds Examination, or Series 31; the General Securities Representative Examination, or Series 7; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 12 state licenses. (Information current as of July 25, 2026.)

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