Attention PNC Investments clients

During the period April 21, 1999 through December 31, 2005, Hilliard Lyons served as the clearing broker-dealer for PNC Investments, LLC (PNC Investments). During this time period, Hilliard Lyons allowed customers introduced to it by

PNC Investments to deposit funds to their accounts through PNC Bank branches. In some instances Hilliard Lyons did not receive clear or accurate identifying information with respect to the deposits. In a relatively small number of instances, Hilliard Lyons could not identify, based on the information available, how (or to whom) to credit the deposit.
If you were a PNC Investments customer who made a deposit that you feel was not properly credited to your account during this timeframe, you can submit a reimbursement claim for Hilliard Lyons to review by following the steps below:
1.          Please provide the following information: 

  •          Your name
  •          Address
  •          Account number
  •          Current phone number
  •          Date and amount of the deposit 
  •          A copy of the deposit receipt
  •          A copy of the front and back of the check used for the deposit

2.          Please send the information listed above to the following address:
J.J.B. Hilliard, W.L. Lyons, LLC
Deposit Reimbursement Claim
Attention Risk & Regulatory Control Department
500 West Jefferson Street
Louisville, KY 40202
Any questions regarding the deposit reimbursement claims process or the status of outstanding claims should be directed to the Risk and Regulatory Control Department by calling 1-800-444-1854.