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FINRA Awards for PNC Investments

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Displaying 31-40 out of 46 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0184010/24/2013Claimant(s): Rose Mary Schemel
Claimant Lawyers(s): Julia K. Munley
Respondent(s): Nicholas Polito, PNC Bank, N.A., PNC Investments
Respondent Lawyers(s): Brian A. Carlis, Nicholas John Polito
Arbitrator(s): Rochelle K. Kaplan, Donald S. Bauman, Arthur Peter Bedrosian
Hearing Site: Philadelphia, PA
Checkmark Icon$0
12-0194608/09/2013Claimant(s): Lynn Sylvia
Claimant Lawyers(s): David Williams Russell
Respondent(s): PNC Investments
Respondent Lawyers(s): Deborah I. Ecker
Arbitrator(s): Rody P. Biggert
Hearing Site: Indianapolis, IN
12-0400806/20/2013Claimant(s): Anthony Toto
Claimant Lawyers(s): Anthony R. Toto
Respondent(s): PNC Investments
Respondent Lawyers(s): Heather A. Pierce
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
12-0190104/24/2013Claimant(s): Norbert Carey
Claimant Lawyers(s): Norbert C. Carey
Respondent(s): Douglas Justice, PNC Investments
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Louisville, KY
Checkmark Icon$4,395
11-0204503/28/2013Claimant(s): James McDevitt
Claimant Lawyers(s): James Bruce McDevitt
Respondent(s): Dawn Dupre, PNC Investments
Respondent Lawyers(s): Deborah I. Ecker
Arbitrator(s): Daniel E. Bacine
Hearing Site: Philadelphia, PA
11-0344606/28/2012Claimant(s): Joshua Zillmer
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): PNC Investments
Respondent Lawyers(s): Deborah I. Ecker
Arbitrator(s): Monica I. Salis, Bruce N. Sankin, Peter A. Cartwright
Hearing Site: Boca Raton, FL
10-0538006/28/2012Claimant(s): Deborah Charles
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): B. David Jarashow, Gerald Joseph Coughlin, Robert E. Anderson
Hearing Site: Newark, NJ
Checkmark IconExpungement
10-0092212/19/2011Claimant(s): Nanik Panjwani
Claimant Lawyers(s): James C. Jones
Respondent(s): Scott Wetherby, PNC Investments
Respondent Lawyers(s): Benjamin E. Widener
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
Checkmark Icon$0
09-0708010/11/2011Claimant(s): Inge Lake Pre School.
Claimant Lawyers(s): Kim Taylor
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Anthony P. Connolly, Julian F. Santos, Stephanie M. Miller
Hearing Site: Newark, NJ
Checkmark Icon$12,063
10-0576307/21/2011Claimant(s): John P. Fowlds and Brenda J. Fowlds
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): James Galloway, PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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