Tag Archives: Daniel B. Irving

PNC Investments Stockbroker Fined For Mismarking Trades

July 16, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Daniel B. Irving of Erie Pennsylvania a stockbroker formerly registered with PNC Investments has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he mismarked customer’s investment orders as having been unsolicited. FINRA Enforcement Action No. 2014043146201 (July 12, 2018). […]

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