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 |
|---|---|---|---|---|---|---|---|---|
| Joseph David Joseph | 2677755 | 2 | 05/16/2014 | Customer Dispute | Settled | $7,831.30 | $0.00 | See FINRA Report |
| Michael William Naab | 5076635 | 1 | 05/14/2014 | Customer Dispute | Settled | $9,675.00 | $0.00 | See FINRA Report |
| Eric N Nelson | 5255599 | 1 | 04/30/2014 | Customer Dispute | Settled | $12,060.00 | $0.00 | See FINRA Report |
| Timothy Bouman | 2021319 | 1 | 11/01/2013 | Customer Dispute | Settled | $105,724.00 | $0.00 | See FINRA Report |
| Thomas John McHale | 2051878 | 2 | 10/29/2013 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| John Matthew Jolliffe | 2460825 | 1 | 10/04/2013 | Customer Dispute | Award / Judgment | $32,946.00 | $0.00 | See FINRA Report |
| Gwendolyn Judith Rothrock | 4358220 | 1 | 10/03/2013 | Customer Dispute | Denied | $473,801.00 | $0.00 | See FINRA Report |
| Andrea Renee Martin | 2841420 | 1 | 09/11/2013 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Brad John Carlson | 2702003 | 2 | 09/11/2013 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Michelle Leigh Christian | 3188032 | 3 | 08/29/2013 | Customer Dispute | Settled | $179,430.00 | $0.00 | See FINRA Report |