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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Dalia | 7885542 | 2 | 07/11/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Francis Ready | 6022970 | 1 | 06/21/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joyce V Thomas | 5645394 | 1 | 05/04/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Noel R Kirby | 4144041 | 1 | 04/07/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Nicholas Dalia | 7885542 | 2 | 04/05/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Taylor Kemper | 4118502 | 1 | 03/16/2017 | Customer Dispute | Settled | $43,774.50 | $0.00 | See FINRA Report |
| Jennifer Kimball Lewis | 4507107 | 1 | 02/28/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alexander H Gunn | 5657534 | 2 | 02/08/2017 | Customer Dispute | Denied | $73,000.00 | $0.00 | See FINRA Report |
| Jarrod Robert Leisure | 2935576 | 3 | 01/19/2017 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Reed | 1790062 | 1 | 12/07/2016 | Customer Dispute | Withdrawn | $33,268.00 | $0.00 | See FINRA Report |