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Did James Dunn Execute Unauthorized Trades? Investors Seeking Over $1 Million

Nov 22, 2021 Investor Disputes

James Dunn (CRD #:6084258), a registered broker and investment advisor with Ameriprise Financial Services, is involved in three investor disputes alleging unauthorized trades, according to his BrokerCheck record, accessed on November 8, 2021. If you are concerned about his conduct as a broker, keep reading for more details.

Investor Allegations

On September 5, 2021, an investor alleged that James Dunn executed unauthorized trades in foreign securities between June and August 2021. The investor is seeking $1,156,433.99; the dispute is pending. 

On July 29, 2021, James Dunn was involved in a similar dispute. According to the investor, in June and July 2021 he allegedly bought and sold equity securities without authorization. The investor is seeking $316,973.57. 

FINRA Rule 2010

Making unauthorized trades in or facilitating unauthorized withdrawals from a customer's account is a breach of the duty to observe high standards of commercial honor and just and equitable principles of trade as stipulated in FINRA Rule 2010.

Employment Termination

On May 15, 2019, Wells Fargo Clearing Services fired James Dunn following allegations regarding mutual fund trades that were marked unsolicited at the time the trades were entered.

Background Information

James Dunn has passed the following exams:

  • Series 66 - Uniform Combined State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 31 - Futures Managed Funds Examination
  • Series 7 - General Securities Representative Examination

He is a registered broker in nine states and is a registered investment advisor in Virginia and Maryland.

Besides Ameriprise Financial Services, James Dunn has worked with the following firms:

  • Wells Fargo Clearing Services (CRD#:19616)
  • Morgan Stanley (CRD#:149777)

Kurta Law Can Help

If you have worked with James Dunn and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.