Principal, Dunn Consulting and Training LLC
212 South Washington Street
Denver, CO 80209
Transfer Agents: Registration, Processing, Control Disclosures, Compliance, Turnaround, Out-of-Balance Resolution, Safekeeping of Funds and Securities, Lost Security Holders, Fraud, Manipulation, Litigation Support, Expert Witness.
Broker-Dealers: Suitability, Supervision, Written Supervisory Procedures, Operations, Branch Office Reviews, Due Diligence, Fraud, Manipulation, Broker Registration, FINRA Rule Compliance, Litigation Support, Expert Witness.
Timothy (Tim) Dunn served 21 years as an SEC accountant/examiner with 10 years as the senior transfer agent examination coordinator in the Denver Regional Office. For 14 years prior to federal service, Mr. Dunn was a brokerage operations manager at national wire-houses and a large commercial bank. He has been a speaker and presentor at many SEC-sponsored compliance conferences and served on several SEC working groups (TA, Microcap Fraud, Broker-Dealers).
Mr. Dunn has served as a summary witness on several SEC civil court cases, provided frequent litigation support for SEC Enforcement attorneys, and worked on several multi-agency task forces involving civil and criminal cases.
Dunn has developed and conducted numerous in-house training courses while in industry and at the SEC. He has also been invited as a guest lecturer at the University of Colorado and Metropolitan State University (Denver), presenting industry related topics.
As an independent consultant, Mr. Dunn has conducted numerous mock audits, provided securities expertise to SEC-registered firms, and served as an expert witness in a securities manipulation case.
Mr. Dunn has an MBA from the University of Colorado, is a Certified Fraud Examiner, and holds several NASD licenses (Series 4, 7, and 63 - currently inactive).