PNC STEEL CITY ADVISORS, LLC of PITTSBURGH, PA is an SEC-registered investment adviser (CRD 172658). Regulatory assets under management: $2.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Thomas Reinhard Rus | CHIEF COMPLIANCE OFFICER | — |
| Peter Joseph Mardaga | PRESIDENT, BOARD OF MANAGERS | — |
| Walter B Hill | EXECUTIVE VICE PRESIDENT, BOARD OF MANAGERS | — |
| NEWMAN WILLIAM | BOARD OF MANAGERS | — |
| RUS THOMAS R | CHIEF COMPLIANCE OFFICER | — |
| HARTY EMMETT JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| ZIMMERER PETER JOHN | CHIEF OPERATING OFFICER AND MANAGER | — |
| KOSIS WILLIAM ANTHONY | MANAGER | — |
| MACCONNELL BRIAN SHAWN | PRESIDENT AND MANAGER | — |
| DOWLER JEFFREY KENNETH | CHIEF FINANCIAL OFFICER | — |
| STEWART MICHAEL RICHARD | CHIEF COMPLIANCE OFFICER | — |
| DOWNS JENNIFER MALLON | CHIEF COMPLIANCE OFFICER | — |
| TINO ANDREW DAVID | INTERIM CHIEF COMPLIANCE OFFICER | — |
| RUS THOMAS REINHARD | CHIEF COMPLIANCE OFFICER | — |
| MARDAGA PETER | MANAGER | — |
| NEWMAN DEAN | BOARD OF MANAGERS | — |
| DARBY-JONES DEEDRA | BOARD OF MANGERS | — |
| MARDAGA PETER JOSEPH | MANAGER | — |
| DARBY-JONES DEEDRA DENISE | BOARD OF MANAGERS | — |
| Mary Patricia Pumphrey | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-07-18 | regulatory | THE OCC ALLEGED THAT PNC BANK, NA FAILED TO FORCE PLACE INSURANCE IN A TIMELY MANNER ON RESIDENTIAL DESIGNATED LOANS IN VIOLATION OF THE FLOOD DISASTER PROTECTION ACT (FLOOD ACT). | Final | $2.6M |
| 2018-05-01 | regulatory | THE OCC ALLEGED THAT PNC, NA BANK FAILED TO ADHERE TO THE REQUIREMENTS OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT IN CONNECTION WITH THE WAIVER OF CERTAIN FEES AND THE LINKING OF ACCOUNTS FOR OVERDRAFT PROTECTION TRANSFERS. | Final | $15.0M |
| 2018-05-01 | regulatory | THE OCC ALLEGED THAT PNC BANK FAILED TO ADHERE TO THE REQUIREMENTS OF SECTION 102 OF THE FLOOD DISASTER PROTECTION ACT AND ITS IMPLEMENTING REGULATIONS IN CONNECTION WITH 125 COMMERCIAL LOANS. | Final | $207K |
| 2017-12-31 | regulatory | ON SEPTEMBER 30, 2019, THE COMMODITIES FUTURES TRADING COMMISSION (CFTC) FILED AND SETTLED CHARGES AGAINST PNC BANK, NATIONAL ASSOCIATION (PNC), A PROVISIONALLY REGISTERED SWAP DEALER, FOR FAILING TO COMPLY WITH PNC'S SWAP REPORTING OBLIGATIONS AS A SWAP DEALER. ACCORDING TO THE ORDER, PNC FAILED TO… | Final | $300K |