Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as PNC Wealth Management LLC. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
PNC Wealth Management LLC is the broker-dealer and investment adviser of PNC Bank, offering equities, fixed income, mutual funds, annuities, insurance, and fee-based portfolio management to individuals, small businesses, and institutions. Approved by the SEC in 2003 and based in Pittsburgh, the firm rebranded from PNC Investments in 2025 and clears through National Financial Services LLC.
PNC Wealth Management LLC – By the Numbers:
- CRD #: 129052
- Regulatory Events: 13
- Arbitration Events: 6
- Broker Employees: 1,307
PNC Wealth Management LLC – Investment Advisors:
- SEC #: 66195
- Assets Under Management: $30,273,072,662
- ADV Form Employee: 1,713
PNC Wealth Management LLC – In the News:
FINRA v. PNC Wealth Management LLC (Case #2024084047901) – From at least June 2021 to the present, PNCI failed to establish and maintain a reasonably designed supervisory system, including written supervisory procedures (WSPs), for the surveillance of rates of deferred variable annuity (VA) exchanges. The firm’s supervisory system did not require the firm to determine if its associated persons had rates of effecting VA exchanges that raised for review whether such rates evidenced conduct inconsistent with FINRA rules or the federal securities laws as required by FINRA Rule 2330(d), and did not provide guidance as to how to make that determination. Nor did the firm’s systems require tracking or further review of representatives with potentially inappropriate rates of exchanges. Accordingly, PNCI violated FINRA Rules 3110, 2330, and 2010.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.