James William Dunn, Jr. Investigation
March 2022- Vienna, VA
The FINRA records of James William Dunn, Jr, a currently unregistered broker who was last employed by Ameriprise Financial Services, disclose 19 prior customer disputes, and a termination
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
From July of 2021 to January of 2022, nineteen customer disputes alleging unauthorized trades were settled with Ameriprise Financial Services customers Dunn. The cases settled for a collective amount of more than $4 million.
In October of 2021, Dunn voluntarily resigned from Ameriprise Financial Services as a result of review of allegations for potential violation of company policy related to suitability and unauthorized trades .
In May of 2019, Dunn was discharged from Wells Fargo Clearing Services following concerns regarding mutual fund trades that were marked unsolicited at the time the trades were entered.
James William Dunn, Jr. was employed with Ameriprise Financial Services from May of 2019 to November of 2021. Before that time he was employed with Wells Fargo Clearing Services and Morgan Stanley.
If you have questions about an account handled by James William Dunn, Jr. call for a no charge consultation to learn more about your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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