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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

Long-Awaited Forensic Investigation of City of Jacksonville Police and Fire Pension Fund


posted by at 04:00 PM

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Sixth Circuit: Lawyers Performing Ordinary Legal Work are not Statutory Sellers under Kentucky Statute


posted by James Dunlap at 02:59 PM

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Walter C. Little and Andrew M. Berke


posted by at 09:51 PM

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