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 |
|---|---|---|---|---|---|---|---|---|
| James Wilson Carroll | 6825643 | 3 | 07/23/2024 | Judgment / Lien | $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 | |
| Shawn Richard Swartz | 2831044 | 3 | 08/30/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Bryant | 4836643 | 3 | 10/26/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Bryant | 4836643 | 3 | 04/29/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cristopher J Valladares | 5884622 | 2 | 10/22/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Brown | 2447285 | 1 | 03/01/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy John Schanz | 5498950 | 3 | 03/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Brown | 6526552 | 1 | 12/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |