Financial Services/Securities Litigation & Arbitration

James A. Dunlap Jr. & Associates LLC is an investor-focused firm. Much of our practice involves representing investors both in arbitration and court proceedings.

Securities abuse cases often share common fact patterns.  Claims filed by us on behalf of investors typically concern one or more of the securities abuses described below.

  • Sub-Prime Mortgage & Collateralized Debt Obligation Problems
  • Unsuitability
  • Breach of Fiduciary Duty
  • Misrepresentation & Omission
  • Over-Concentration
  • Failure to Follow Directions
  • Selling Away
  • Mutual Fund Revenue Sharing
  • Mutual Fund Fraud
  • Unauthorized Trading
  • Churning
  • Margin Issues
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From Our Blog

FINRA Hearing Officer Expels Pinnacle Partners Financial Corp. and Bars President for Fraud

posted by James Dunlap at 06:08 PM

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Alex Martinez

posted by James Dunlap at 05:50 PM

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Stephen E. Bowman

posted by James Dunlap at 06:10 PM

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