{"id":10449,"date":"2022-03-07T11:22:00","date_gmt":"2022-03-07T16:22:00","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10449"},"modified":"2023-01-10T10:32:42","modified_gmt":"2023-01-10T15:32:42","slug":"broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/","title":{"rendered":"FINRA Bars Broker James Dunn After Multiple Allegations Of Unauthorized Trading"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10450 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/03\/James-Dunn.jpg\" alt=\"James Dunn (James William Dunn, Jr. CRD#: 6084258) is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LLC (CRD#:6363) of Vienna, VA. He was previously employed with Wells Fargo Clearing Services, LLC (CRD#:19616) of Arlington, VA, and Morgan Stanley (CRD#:149777) of McLean, VA. He has been in the industry since 2012. In Dunn's 10-year career, he has a total of 20 disclosures in his FINRA record. One of those disclosures is his employment separation from Ameriprise, filed on 10\/19\/2021. According to his entry in BrokerCheck, Dunn voluntarily resigned \u201cwhile under review for potential violation of company policy related to suitability, unauthorized trades and texting with clients.\u201d No other information is available, and there are not yet any FINRA disciplinary actions. Of Dunn\u2019s remaining 19 customer dispute disclosures, five are still pending. The remaining 14 have been settled with millions of dollars involved. Of the 19 disclosures, 17 disclosures indicate that Dunn purchased securities and customer accounts without the customer's specific written authorization. Some were inappropriate for the customers\u2019 investment objectives, and still others were equity securities. Two customer disputes, filed on 8\/29\/2021 and 9\/5\/2021 allege that Dunn executed unauthorized trades in foreign securities. The first dispute is still pending, and requests damages of $1,156,433.99. The later dispute requested damages of $90,541.66 and has been settled for $100,915.49.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/03\/James-Dunn.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/03\/James-Dunn-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/><\/p>\n<p>James William Dunn, Jr. (CRD#: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/6084258\" target=\"_blank\">6084258<\/a>) is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LLC (CRD#:6363) of Vienna, VA. He was previously employed with Wells Fargo Clearing Services, LLC (CRD#:19616) of Arlington, VA, and Morgan Stanley (CRD#:149777) of McLean, VA. He has been in the industry since 2012. <a href=\"https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/#more-10449\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>James William Dunn, Jr. (CRD#: 6084258) is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LLC (CRD#:6363) of Vienna, VA. He was previously employed with Wells Fargo Clearing Services, LLC (CRD#:19616) of Arlington, VA, and Morgan Stanley (CRD#:149777) of McLean, VA. He has been in the industry since [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580,581],"tags":[],"class_list":["post-10449","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct","category-unauthorized-trading"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Bars Broker James Dunn After Allegations Of Unauthorized Trading<\/title>\n<meta name=\"description\" content=\"James Dunn is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LL of Vienna, VA.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Broker James Dunn After Allegations Of Unauthorized Trading\" \/>\n<meta name=\"twitter:description\" content=\"James Dunn is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LL of Vienna, VA.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/03\/James-Dunn.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"5 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Broker James Dunn After Allegations Of Unauthorized Trading","description":"James Dunn is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LL of Vienna, VA.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Broker James Dunn After Allegations Of Unauthorized Trading","twitter_description":"James Dunn is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LL of Vienna, VA.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/03\/James-Dunn.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"5 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/","url":"https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/","name":"FINRA Bars Broker James Dunn After Allegations Of Unauthorized Trading","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/03\/James-Dunn.jpg","datePublished":"2022-03-07T16:22:00+00:00","dateModified":"2023-01-10T15:32:42+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"James Dunn is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LL of Vienna, VA.","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/#primaryimage","url":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/03\/James-Dunn.jpg","contentUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/03\/James-Dunn.jpg","width":300,"height":200},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/broker-james-dunn-resigns-after-multiple-allegations-of-unauthorized-trading\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Bars Broker James Dunn After Multiple Allegations Of Unauthorized Trading"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10449","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=10449"}],"version-history":[{"count":4,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10449\/revisions"}],"predecessor-version":[{"id":10936,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10449\/revisions\/10936"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=10449"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=10449"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=10449"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}