Hugh Daniel Dunn Jr. (also known as Danny Dunn), of White Plains, New York, a stockbroker registered with The Rockwell Financial Group Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer was awarded $21,000.00 in compensatory damages because Dunn or The Rockwell Financial Group Inc. was held liable on the customer’s claims. The Statement of Claim alleged that Dunn breached his fiduciary duties, violated NYSE and FINRA rules, violated Florida Securities and Investor Protection Act, breached a contract, failed to supervise certain representatives, and was negligent when Dunn was associated with The Rockwell Financial Group Inc. FINRA Arbitration No. 22-00177 (June 1, 2023).
Public Disclosure also shows that Dunn was sanctioned by New Hampshire Bureau of Securities Regulation because Dunn, as an agent of Rockwell Financial, sold 1,000 unregistered units of Rockwell Capital to a New Hampshire resident. Dunn reportedly also made a misleading filing related to Rockwell Financial’s New Hampshire broker dealer license application. Case No. 99-XYZ-123. Therefore, Dunn was fined $2,500.00. Additionally, he withdrew his New Hampshire broker dealer agent license application.
Dunn has been associated with The Rockwell Financial Group Inc. in White Plains, New York since February 11, 2002.
