James Dunn, Formerly with Ameriprise Financial Services, Barred from Securities Industry
VIENNA, VIRGINIA
Have you lost money with financial advisor James Dunn in Vienna, Virginia? Our securities arbitration law firm is continuing to look into claims made against James William Dunn. Dunn was recently barred from the securities industry by FINRA after he failed to respond to an investigation.
Dunn was a financial advisor with Ameriprise Financial Services from May 2019 to October 2021. FINRA started its investigation after Dunn was fired by Ameriprise in October 2021. The purported reasons for Dunn’s termination from Ameriprise were related to potential unsuitable investment recommendations, unauthorized trades, and texting with clients. Dunn has also been the subject of over 20 customer complaints regarding these allegations. The complaints arise from the unauthorized purchase of stocks, including those of foreign companies.
James William Dunn was a licensed financial advisor and worked in offices in Vienna, Virginia. Before Dunn was affiliated with Ameriprise, he had been licensed with Wells Fargo from September 2015 to May 2019, where he worked at a branch in Arlington, Virginia.
Dunn was subject to being barred from the securities industry under FINRA Rule 8210, which requires advisors to cooperate in investigations. Moreover, as a FINRA member, Ameriprise Financial Services must abide by FINRA Rule 3110 and adequately supervise the conduct of its advisors like James Dunn. If it failed to adequately supervise Dunn or other advisors, the firm could be responsible for financial losses.
Israels & Neuman is an investment fraud and securities arbitration law firm that has represented over 1,000 investors in the past, including investors against Ameriprise. We represent investors throughout the country, including in Virginia.
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