THOMAS RICHARD DINNIN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 300 ALLEGHENY RIVER BLVD, OAKMONT, PA, 15139.
THOMAS RICHARD DINNIN has worked at CETERA ADVISOR NETWORKS LLC since September 03, 2013
Disclosure History
THOMAS RICHARD DINNIN has 2 Disclosure Event(s).
Date: July 29, 1991 Category: Regulatory
Date: October 17, 1989 Category: Regulatory Initiated By: SECURITIES AND EXCHANGE COMMISSION Allegations: SEC NEWS DIGEST ISSUE 89-198, REL. 34-27347; 34-27348, DATED OCTOBER 17, 1989: THE COMMISSION INSTITUTED PUBLIC ADMINISTRATIVE PROCEEDINGS AND IMPOSED REMEDIAL SANCTIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AGAINST THOMAS R. DINNIN AND OTHER INDIVIDUAL, BOTH REGISTERED REPRESENTATIVES ASSOCIATED WITH REGISTERED BROKER-DEALERS. THE COMMISSION ALLEGES THAT RESPONDENTS WILFULLY VIOLATED THE REGISTRATION AND ANTIFRAUD PROVISIONS OF THE SECURITIES ACT OF 1933 AND THE ANTIFRAUD PROVISIONS OF THE EXCHANGE ACT IN CONNECTION WITH THE OFFER AND SALE OF INVESTMENT CONTRACTS ISSUED BY A COMPANY ("COMPANY"). THE COMMISSION ALSO ALLEGES THAT RESPONDENTS MADE FALSE AND MISLEADING STATEMENTS OF MATERIAL FACT AND OMITTED TO STATE MATERIAL FACTS CONCERNING, AMONG OTHER THINGS, THE DEGREE OF RISK ASSOCIATED WITH THE INVESTMENT, THE INVESTMENT'S TAX CONSEQUENCES, THE NATURE OF THE INVESTMENT, AND THE FINANCIAL CONDITION OF THE COMPANY. Resolution: Order SanctionDetails: Sanctions: Suspension Sanction Details: THE COMMISSION SUSPENDED DINNIN FROM ASSOCIATION WITH ANY BROKER, DEALER, MUNICIPAL SECURITIES DEALER, INVESTMENT ADVISER, OR INVESTMENT COMPANY FOR 120 DAYS. Broker Comment: I DID NOTHING WRONG. ALL THE SALES PEOPLE WERETOLD BY THE COMPANY OFFICERS TAHT THE PENNA. SECURITIESCOMMISSION GAVE THEM WRITTEN ACKNOWLEDGEMENT THAT WE WERESELLING REAL ESTATE & NO NEED TO BE REGISTERED.I WAS FOUND BY THE S.E.C. TO HAVE VIOLATED THE REGISTRATION AND ANTI FRAUD PROVISIONS OF THE SECURITIES ACT OF 1933 AND ANTI FRAUD PROVISIONS OF THE EXCHANGE ACT FOR THE OFFER AND SALE OF INVESTMENT CONTRACTS ISSUED BY EARNED CAPITAL CORP ("ECC"). THE S.E.C. ALSO FOUND ME TO HAVE MADE FALSE AND MISLEADING STATEMENTS OF MATERIAL FACT AND OMITTED TO STATE MATERIAL FACTS CONCERNING THE DEGREE OF RISK ASSOCIATED WITH THE INVESTMENT, INVESTMENT'S TAX CONSEQUENCES, THE NATURE OF THE INVESTMENT, AND THE FINANCIAL CONDITION OF "ECC".
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