ANNE THERESA DUNNE is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 85 E STREET, SOUTH PORTLAND, ME, 04106.
ANNE THERESA DUNNE has worked at CETERA INVESTMENT SERVICES LLC since June 06, 2001
Disclosure History
ANNE THERESA DUNNE has 2 Disclosure Event(s).
Date: August 14, 1991 Category: Regulatory Initiated By: STATE OF MAINE SECURITIES ADMINISTRATOR ANDMAINE AG Allegations: CIVIL SUIT INITIATED ALLEGING MATERIALMISREPRESENTATIONS, NON-DISCLOSURE OF SALES COMMISSIONS, SALESOF UNSUITABLE INVESTMENTS AND USE OF MISLEADING PROSPECTUSES INCONNECTION WITH THE OFFERING AND SALES OF JUNK BOND MUTUALFUNDS AND PERIODIC PAYMENT PLANS. Resolution: Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $50,000.00 Sanction Details: CONSENT AGREEMENT Broker Comment: NOT PROVIDED
Date: August 14, 1991 Category: Civil
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