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Violation Tracker Individual Record

Company: PNC Investments LLC
Current Parent Company: PNC Financial Services
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $100,000
Year: 2024
Date: April 29, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: PNCI agreed to pay a $100,000 administrative assessment in settling allegations it employed at least one unregistered investment adviser.
Level of Government: state
Action Type: agency action
Agency: Pennsylvania Department of Banking and Securities
Civil or Criminal Case: civil
Facility State: Pennsylvania
HQ Country of Current Parent: USA
HQ State of Current Parent: Pennsylvania
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.