Tag Archives: PNC Investments

PNC Investments Stockbroker Suspended For Unauthorized Trading

November 30, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Thomas E. Omark, of Erie, Pennsylvania, a stockbroker formerly associated with PNC Investments, was fined $15,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he effected trades in customer accounts without authorization. Letter of Acceptance, Waiver and Consent, No. 2015047550801 […]

Read More »

PNC Investments Broker Barred Amid Investigation into Stolen Funds

Philip Earl Brunson, a registered representative with PNC Investments and Wells Fargo Advisors, LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he failed to cooperate with their investigation in connection with allegations that Brunson converted customer funds. Letter of Acceptance, […]

Read More »