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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

The Greatest Retirement Crisis In American History


posted by James Dunlap at 09:34 PM

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FINRA Expels Day-Trading Firm for Supervisory Violations


posted by James Dunlap at 04:09 PM

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FINRA Hearing Panel Fines David Lerner Associates $2.3 Million for Selling Municipal Bonds, CMOs to Retail Customers at Unfair Prices, and for Supervisory Violations


posted by James Dunlap at 06:08 PM

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