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Articles Tagged with James Dunn

Number of Customer Disputes Involving Ex-Ameriprise Broker James Dunn Skyrockets

Published on: February 14, 2022 | by Shepherd Smith Edwards & Kantas, LLP

16 FINRA Arbitration Claims Have Been Brought Against Broker James Dunn

In December 2021, Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) published a blog post announcing that we are investigating claims of investor losses involving ex-Ameriprise Financial Services broker James William Dunn.

At the time, according to Dunn’s BrokerCheck record, he had been named in a handful of customer disputes seeking to recover damages for losses. That number has more than tripled to 16 investor cases.

Ex-Ameriprise Broker James Dunn is Accused of Unsuitability, Unauthorized Trading

Published on: December 17, 2021 | by Shepherd Smith Edwards & Kantas, LLP

Former Ameriprise Financial Advisor is Named in Five Pending Customer Disputes

James William Dunn, an ex-stockbroker and investment advisor in Vienna, VA with Ameriprise Financial Services, is under scrutiny over losses suffered by customers. He is currently named in five customer disputes in which the damages sought range from six- to seven figures.

All of the Financial Industry Regulatory Authority (FINRA) arbitration claims involving Dunn were brought in 2021. The misconduct alleged was said to have occurred during this same year.