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 |
|---|---|---|---|---|---|---|---|---|
| Gia Sylvia Raines | 5111130 | 1 | 04/01/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Anthony James | 6872507 | 1 | 01/07/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Morris | 2009038 | 2 | 08/13/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony Guy Sawtelle | 3031291 | 1 | 01/29/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Patenaude | 7211696 | 1 | 10/15/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph David Joseph | 2677755 | 2 | 08/20/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clayton Jeffery Thomas | 724451 | 8 | 07/20/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Clayton Jeffery Thomas | 724451 | 8 | 03/18/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Clayton Jeffery Thomas | 724451 | 8 | 10/26/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |