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

Illinois Bar Association: Non-Attorney Representatives in FINRA Arbitrations Are Practicing Law

posted by James Dunlap at 07:58 PM

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Scott I. Kupersmith, et al.

posted by James Dunlap at 10:56 PM

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Robert Crane

posted by James Dunlap at 08:54 PM

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