Switch to ADA Accessible Theme
Close Menu
Free Consultation: 888-976-6111

White Plains Advisor Hugh Dunn: $325k Investor Complaint

White Plains financial advisor Hugh Dunn (CRD# 2219252) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Rockwell Financial Group, registered in both White Plains and Hicksville, New York. 

Mr. Dunn’s BrokerCheck report, a summary form outlining his history as a broker, discloses one pending investor complaint. Filed in February 2022, the complaint alleges he “charged inappropriate trades to speculative, aggressive short term growth portfolio” between 2010 and 2021. For reference, FINRA’s suitability standard requires brokers to follow a standard called suitability: this means that they must have a reasonable basis to believe the investments they recommend are appropriate for the customer’s objectives, background, and needs. This means, for instance, that speculative short-term trading in potentially risky securities might be inappropriate for an investor with a conservative investment profile focused on long-term growth. The pending complaint alleges damages of $325,000.

According to the Financial Industry Regulatory Authority, Hugh Dunn holds 25 years of securities industry experience. Based in White Plains, New York, he has been a representative of Rockwell Global Capital since 2002. His past registrations include AC Financial (Palm Harbor, Florida; 1997-1998), May Davis Group (New York, New York; 1996-1997), I.A. Rabinowitz & Co. (New York, New York; 1996), Buttonwood Securities (New York, New York; 1995), Rickel & Associates (New York, New York; 1995), Norfolk Securities (New York, New York; 1994-1995), Greenway Capital (New York, New York; 1994), and A.S. Goldmen & Co. (Red Bank, New Jersey, 1992-1994). His credentials include the passage of five securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Municipal Securities Principal Examination, or Series 53; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 27 state licenses. (Information current as of June 8, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Jorge Sonville: $4 Million Complaint Against Sanctioned Miami Advisor

    Insigneo Securities financial advisor Jorge Sonville (CRD# 2558540) has been sanctioned over allegations he improperly loaned money to a customer....

    Read More
  • Ann Box: Did Barred Cambridge Advisor Misappropriate Funds?

    Dallas financial advisor Ann Box (CRD# 1662151) has been barred by the Financial Industry Regulatory Authority, which found she refused...

    Read More
  • FINRA Suspends Fairfield Advisor Denise Sobczak: Forgery Allegations

    Kestra Investment Services financial advisor Denise Sobczak (CRD# 3078128) allegedly forged customer signatures, according to a recent Financial Industry Regulatory...

    Read More
  • Brian Donnelly: Manhattan Ridge Advisor Suspended by FINRA

    Former Iselin, New Jersey financial advisor Brian Donnelly (CRD# 4288121) allegedly participated in an undisclosed private securities transaction, according to...

    Read More
  • Previous
  • Next