Articles Tagged with James Dunn

16 FINRA Arbitration Claims Have Been Brought Against Broker James Dunn

In December 2021, Shepherd Smith Edwards and Kantas (SSEK Law Firm at 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.

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. 

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