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.

  1. 1 Sub-Prime Mortgage & Collateralized Debt Obligation Problems
  2. 2Unsuitability
  3. 3Breach of Fiduciary Duty
  4. 4Misrepresentation & Omission
  5. 5Over-Concentration
  6. 6Failure to Follow Directions
  1. 7 Selling Away
  2. 8Mutual Fund Revenue Sharing
  3. 9Mutual Fund Fraud
  4. 10Unauthorized Trading
  5. 11Churning
  6. 12Margin Issues

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