GUNN & COMPANY INVESTMENT MANAGEMENT, INC. of JACKSONVILLE, FL is an SEC-registered investment adviser (CRD 120084). Regulatory assets under management: $213.5M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Shawn Joseph McCabe | EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT / CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT / CHIEF COMPLIANCE OFFICERS | Lakeland, FL |
| Marshall Dean Gunn | PRESIDENT | — |
| Renee Lynn Morrell | VICE PRESIDENT; VICE PRESIDENT / TREASURER | — |
| Elizabeth P Dewitt | SHAREHOLDER; VICE PRESIDENT / SECRETARY | — |
| GUNN MARSHALL DEAN | PRESIDENT; SHAREHOLDER | — |
| KELLY SUSAN RAE | CHIEF COMPLIANCE OFFICER; SECRETARY/TREASURER | — |
| WILD VICKY GRANT | CHIEF COMPLIANCE OFFICER; CHIELF COMPLIANCE OFFICER; VICE-PRESIDENT | — |
| DEJONG RENEE LYNN | VICE-PRESIDENT | — |
| BARLEY DAVID PATRICK | VICE-PRESIDENT | — |
| MARTIN SONNY FRED | VICE-PRESIDENT | — |
| MORRELL RENEE LYNN | PRES/SEC/TRES; VICE PRESIDENT; VICE-PRESIDENT | — |
| HUGHES SUSAN RAE | CHIEF COMPLIANCE OFFICER | — |
| DeWitt Elizabeth P | SHAREHOLDER | — |
| Chamberlain Joel Clayton | SHAREHOLDER | — |
| KREY KENNETH RYAN | SHAREHOLDER | — |
| Brohinsky Isaac Jacob | SHAREHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-11-16 | regulatory | AT A MEETING OF THE HEARING PANEL OF THE JOINT TRIAL BOARD OF THE AICPA THE PANEL FOUND MR. GUNN GUILTY OF VIOLATING THE GENERAL STANDARDS OF RULE .01A. PROFESSIONAL COMPETENCE (2.300.001); GENERAL STANDARDS FULE .01B. DUE PROFESSIONAL CARE (2.300.001); AND ACT DISCREDIBLE RULE (2.400.001) OF THE AI… | Final | — |
| 2023-06-15 | criminal | IN DECEMBER 2013, ONE OF GCIM'S SHAREHOLDERS, MARSHALL D. GUNN, JR., WAS PERSONALLY NAMED IN A COMPLAINT BY THE SEC. IN JUNE 2020, THE U.S. DISTRICT COURT FOR THE DISTRICT OF COLORADO ENTERED A FINAL CONSENT JUDGMENT AGAINST MARSHALL D. GUNN, JR., IN CONNECTION WITH HIS ROLE IN A PRIME BANK SCHEME O… | Final | — |
| 2021-10-01 | regulatory | THE CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. (THE "CFP BOARD") ISSED AN ADMINISTRATIVE ORDER OF PERMANENT BAR TO MARSHALL D. GUNN, JR. ON OCTOBER 1, 2021. ON AUGUST 19, 2021 THE CFP BOARD MAILED A COMPLIANT TO MR. GUNN FOR VIOLATIONS OF ITS RULES OF CONDUCT. MR. GUNN FAILED TO FILE A RES… | Final | — |
| 2020-06-29 | civil | DECEMBER 13, 2013: THE SECURITIES AND EXCHANGE COMMISSION FILED A CIVIL LAWSUIT INJUNCTION ON DECEMBER 12, 2013, IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLORADO AGAINST A COLORADO RESIDENT, HIS COMPANY, AND OTHERS WHO CARRIED OUT A PRIME BANK FRAUD THAT RAISED MORE THAN $31 MILLION… | Final | — |
| 2013-12-12 | regulatory | DECEMBER 13, 2013: THE SECURITIES AND EXCHANGE COMMISSION FILED A CIVIL LAWSUIT INJUNCTION ON DECEMBER 12, 2013, IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLORADO AGAINST A COLORADO RESIDENT, HIS COMPANY, AND OTHERS WHO CARRIED OUT A PRIME BANK FRAUD THAT RAISED MORE THAN $31 MILLION… | Final | $50K |