The Firm

Dunn Consulting and Training is a Denver, Colorado-based consultancy that provides expert witness and litigation support services on securities-related cases, including deposition and testimony support. As part of its expert witness and litigation support services, Dunn Consulting and Training will provide comprehensive expert reports, rebuttal reports (of opposing experts), industry-specific research advice, and assistance with SEC and self-regulatory rules and no-action letters.

 

Dunn Consulting and Training also provides compliance-related services to SEC-registered transfer agents and broker-dealers, including mock compliance inspections, similar in scope to a regulator examinations. Other services include assistance with required written procedures, focused testing to ensure compliance with SEC, state and FINRA rules, and staff training.

 

Dunn Consulting and Training is a sole proprietor consultancy. I have over 35 years industry experience. Since establishing the consultancy in 2013, I have serviced clients throughout the country_ The client base has ranged from large, well-established firms to start-ups seeking assistance. I have served as an expert witness on securities-related cases and provided litigation research support. I have also served as an independent compliance consultant to assist firms that had compliance problems with securities regulators, performed third-party due diligence reviews, and conducted training classes on corporate governance for start-up businesses.

 

Because I was an SEC regulator for twenty-one years, and an industry operations manager for fourteen years, I provide a value-added component that other consultants lack. In the highly regulated environment that is today’s financial services industry, litigation, compliance examinations and periodic regulator inspections are a certainty. Firms that have access to competent litigation and compliance support are better positioned to get through those unwelcome certainties. Allow me to assist you in your litigation and compliance needs as they arise at a reasonable cost and with greater efficiency.

 

Please note that Dunn Consulting and Training is not a law firm and does not give legal advice. You should consult your attorney when you have legal questions.

 

Please contact me if my services can assist you with your needs.

 

Sincerely,

Timothy Dunn, Principal