Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wintrust Investments LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Michael Peter Sloan | 2178871 | 8 | 08/24/2022 | Customer Dispute | Settled | $30,700.00 | $0.00 | See FINRA Report |
| Michael Peter Sloan | 2178871 | 8 | 07/29/2022 | Customer Dispute | Withdrawn | $30,700.00 | $0.00 | See FINRA Report |
| Michael Peter Sloan | 2178871 | 8 | 11/03/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Stephen James Sperling | 3061073 | 8 | 09/20/2021 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Stephen James Sperling | 3061073 | 8 | 07/08/2021 | Customer Dispute | Closed-No Action | $103,438.00 | $0.00 | See FINRA Report |
| Chad Michael Vandenbusch | 2580669 | 2 | 08/11/2020 | Customer Dispute | Settled | $220,000.00 | $0.00 | See FINRA Report |
| Cataldo Panici | 2112617 | 3 | 05/04/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Timothy John Notaro | 1355563 | 3 | 04/10/2020 | Customer Dispute | Denied | $65,135.00 | $0.00 | See FINRA Report |
| David Andrew Gaffney | 3004164 | 1 | 09/18/2019 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Stephen James Sperling | 3061073 | 8 | 03/08/2018 | Customer Dispute | Closed-No Action | $27,000.00 | $0.00 | See FINRA Report |