DUNN CAPITAL MANAGEMENT, LLC of STUART, FL is an SEC-registered investment adviser (CRD 328632). Regulatory assets under management: $269.0M.
Compensation: Other.
Clients served: Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Martin Hamilton Bergin | OWNER; PRESIDENT | — |
| James Russell Dailey | CEO | — |
| David Allen Kauppi | CFO | — |
| David Eugene Dreyer | GENERAL COUNSEL & CCO | — |
| DAILEY JAMES RUSSELL | CEO | — |
| BERGIN MARTIN HAMILTON | OWNER; PRESIDENT | — |
| KAUPPI DAVID ALLEN | CFO | — |
| SPRAFKIN MELISSA | CCO | — |
| DREYER DAVID E | GENERAL COUNSEL | — |
| DREYER DAVID EUGENE | GENERAL COUNSEL & CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-11-13 | regulatory | A SUBCOMMITTEE OF THE EXCHANGE'S BUSINESS CONDUCT COMMITTEE ("BCC SUBCOMMITTEE") DETERMINED THAT ON VARIOUS DAYS BETWEEN SEPTEMBER 2016 AND MAY 2017, DUNN CAPITAL MANAGEMENT ("DUNN CAPITAL"), THROUGH THE ACTIVITY OF A FORMER EMPLOYEE, MAY HAVE VIOLATED EXCHANGE RULES 4.02(L)(1)(A), 4.02(L)(2), 4.04,… | Final | $40K |