Our Staff has compiled our research into a database of FINRA Broker Disclosures for PNC Investments. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Chris Dibari | 3012315 | 3 | 08/09/2024 | Customer Dispute | Pending | $107,040.00 | $0.00 | See FINRA Report |
| James Wilson Carroll | 6825643 | 3 | 07/23/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James M Vukovich | 4842997 | 1 | 07/12/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Nathan W Tuori | 5809383 | 1 | 04/26/2024 | Customer Dispute | Denied | $90,300.00 | $0.00 | See FINRA Report |
| Michael Kristopher Jones | 5458737 | 1 | 04/26/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John E Rietz | 2630099 | 2 | 04/16/2024 | Customer Dispute | Denied | $20,933.90 | $0.00 | See FINRA Report |
| Edmund Michael Hughes | 4906249 | 1 | 03/08/2024 | Customer Dispute | Settled | $210,000.00 | $0.00 | See FINRA Report |
| R. Nicholas Nicholas Volpe | 5539181 | 1 | 02/08/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shawn Richard Swartz | 2831044 | 3 | 12/13/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Wilson Carroll | 6825643 | 3 | 11/20/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |