SEC
Whistleblower
Attorneys

April 06, 2018

PNC Investments LLC

Trading and Pricing

SANCTION AMOUNT: $7307770

Defendants: PNC Investments LLC

Respondent PNC Investments LLC agreed to settle charges that it failed to disclose conflicts of interest and violated its duty to seek best execution by investing advisory clients in higher-cost mutual fund shares when lower-cost shares of the same funds were available.

Thank you for submitting some email to us.