Options for Clients of Former Ameriprise Financial Services, LLC Broker James Dunn

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Were you the victim of former Ameriprise Financial Services, LLC broker James Dunn (CRD# 6084258)? James Dunn was registered with Ameriprise Financial Services, LLC in Vienna, Virginia from 2019 to 2021, when he was terminated regarding, “Registered representative resigned while under review for potential violation of company policy related to suitability, unauthorized trades and texting with clients.” Previously, James Dunn was registered with Wells Fargo Clearing Services, LLC in Arlington, Virginia from 2015 to 2019 and with Morgan Stanley in Mclean, Virginia from 2012 to 2015.

James Dunn Customer Complaints

James Dunn has been the subject of eight customer complaints in 2021, according to his CRD report:

  • November 2021. “The client alleged her advisor purchased certain equity securities in her account from June to September 2021 without her authorization.” The customer is seeking $97,562.70 in damages and the case is currently pending. The case was regarding equity OTC and took place while James Dunn was registered with Ameriprise Financial Services, Inc.
  • November 2021. “The client alleged her advisor purchased an equity security in her account from August to September without her authorization.” The customer is seeking $72,123.84 in damages and the case is currently pending. The case was regarding equity OTC and took place while James Dunn was registered with Ameriprise Financial Services, Inc.
  • November 2021. “The clients alleged their advisor purchased certain equity securities in their accounts without their authorization.” The customer is seeking $259,929.05 in damages and the case is currently pending. The case was regarding equity OTC and took place while James Dunn was registered with Ameriprise Financial Services, Inc.
  • October 2021. “The client alleged his advisor purchased certain unsuitable equity securities in his account(s) from July to October 2021 without his authorization.” The customer is seeking $535,379.26 in damages and the case is currently pending. The case was regarding equity OTC and took place while James Dunn was registered with Ameriprise Financial Services, Inc.
  • October 2021. “The client alleged her advisor purchased certain unsuitable equity securities in her account(s) from July to October 2021 without her authorization.” The customer is seeking $472,858.94 in damages and the case is currently pending. The case was regarding equity OTC and took place while James Dunn was registered with Ameriprise Financial Services, Inc.
  • September 2021. “The client alleged his advisor recently (June to August 2021) executed unauthorized trades in foreign securities.” The customer is seeking $90,541.66 in damages and the case is currently pending. The case was regarding common and preferred stocks and took place while James Dunn was registered with Ameriprise Financial Services, Inc.
  • August 2021. “The client alleged his advisor recently (June to August 2021) executed unauthorized trades in foreign securities.” The customer is seeking $1,156,433.99 in damages and the case is currently pending. The case was regarding common and preferred stocks and took place while James Dunn was registered with Ameriprise Financial Services, Inc.
  • July 2021. “The client alleged equity securities were bought and sold within his account in June and July 2021 without his authorization.” The customer is seeking $316,973.57 in damages and the case is currently pending. The case was regarding common and preferred stocks and took place while James Dunn was registered with Ameriprise Financial Services, Inc.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Ameriprise Financial Services, LLC may be liable for investment or other losses suffered by James Dunn’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form below for a free consultation.

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