Articles Tagged with PNC Investments

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grace Henderson (Henderson), previously associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Henderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $28,547.00 on April 19, 2023.

Client alleges representative did not make her aware of potential taxes on sale of assets to open an advisory account

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Anolik (Anolik), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Anolik recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $20,000.00 on March 08, 2023.

Customer alleges representative did not correctly evaluate the cost basis for an annuity prior to surrender.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Holbrook (Holbrook), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Holbrook recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $27,232.38 on September 19, 2022.

Client alleged recommendations was not consistent with her investment objectives.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donte Lambert (Lambert), previously associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Lambert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,484.00 on February 12, 2024.

Client alleged market linked CD recommendation was not consistent with her intent to purchase a bank CD.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edmund Hughes (Hughes), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Hughes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $210,000.00 on March 08, 2024.

Client alleges representative did not inform her of tax consequences of recommended transaction.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Dibari (Dibari), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Dibari recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $384,779.66 on March 10, 2025.

Client allege the representative’s recommendations were inconsistent with their investment objectives, and he did not accurately explain product features.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Oliver Evan (Evan), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Evan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $47,458.02 on March 18, 2025.

Client alleges Registered Representative’s recommendation was not in-line with his income objective.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matt Heintz (Heintz), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Heintz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $13,627.00 on February 19, 2025.

Customer alleges advisor did not provide correct advice regarding qualified chartable distributions.

Continue Reading

| by

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Maria Leon (Leon) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Leon was employed by Pnc Investments at the time of the activity.  If you have been a victim of Leon’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on September 20, 2024.

Without admitting or denying the findings, Leon consented to the sanction and to the entry of findings that she refused to provide information and documents or to appear for on-the-record testimony requested by FINRA in connection with its investigation into the circumstances surrounding the Form U5 filed by her member firm. The findings stated that the firm submitted the Form U5 disclosing that it had discharged Leon during an investigation into misappropriation of customer funds.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Engelbrecht (Engelbrecht), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Engelbrecht recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $12,389.00 on October 28, 2024.

Customer alleges the liquidation of a security as part of an account transfer was unexpected and resulted in unanticipated tax consequences.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design