Jeffrey S. Holik
Jeffrey S. Holik is a seasoned and accomplished lawyer who knows how to solve problems from both a legal and a practical business perspective. With more than 30 years of experience as a senior financial services regulator, industry leader and partner in global law firms, he has a deep understanding of the financial services industry. After many years as a leader of regulatory programs at FINRA and as chief legal officer for the retail investment businesses of PNC Bank, Jeff brings a proven track record of success partnering with compliance officers and business leaders to achieve corporate goals, resolve customer and business disputes, manage legal, regulatory and reputational risk, maintain strong relationships with regulators, and keep regulatory and litigation matters off the front page of the newspapers.
For nearly a decade, Jeff has been Chief Counsel, Broker-Dealer, at The PNC Financial Services Group, where he served as the chief legal officer for PNC Investments, a bank-affiliated retail broker-dealer and registered investment adviser. He also provided regular advice and counsel to PNC Capital Markets, an institutional middle market broker-dealer with a substantial corporate fixed income and municipal securities business, and to PNC Capital Advisors, an institutional investment adviser that supports The PNC Funds, a complex of ’40 Act mutual funds. And he worked closely with PNC Bank’s wealth management and retail bank businesses regulated by the OCC, CFPB and Department of Labor.
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