Business Continuity Plan

In accordance with NASD Rule 3510, Dunn Rush & Co. LLC has developed a business continuity plan as part of our ongoing contingency planning efforts to mitigate the impact of business interruptions. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. Keeping that in mind, we are providing you with this summary information concerning our business continuity plan.

Dunn Rush & Co. LLC plans to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees’ lives and firm property, making a financial and operational assessment, protecting Dunn Rush & Co. LLC’s books and records and allowing our customers to transact business. In summary, our business continuity plan is designed to permit Dunn Rush & Co. LLC to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, regulators and employees; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; and regulatory reporting.

Significant business disruptions can vary in their scope. A significant business disruption can affect only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. The severity of the disruption can vary from minimal to severe within each of these areas. In either situation, we plan to continue in business, and you will be able to obtain status updates through our website at www.dunnrush.com or by calling our main number 617-451-0001.

The Dunn Rush & Co. LLC business continuity plan is reviewed periodically, and subject to modification with notice. Any updates to the summary business continuity plan will be posted on the Dunn Rush & Co. LLC website at www.dunnrush.com.


“Dunn Rush & Co. were amazing throughout the entire process of selling my company! Greg and Kevin quickly learned about an industry most people have never heard of (sonar transducers), and their extensive experience, creativity, and strategic thinking helped us navigate the process and deal effectively with the many unexpected turns of events. They are indefatigable, and were always available and communicating with us, day and night. Their attention to every detail, their interest and excitement about our deal, and their endless patience answering our questions and concerns was second to none. Dunn Rush is categorically different from other investment banking firms, and I can’t imagine working with anyone else.”

Carol Bowen
President, Materials Systems Inc.

Testimonials

The testimonials presented herein may not be representative of the experience of other clients and are no guarantee of future performance or success.