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 |
|---|---|---|---|---|---|---|---|---|
| Steven Mark Diamond | 2674144 | 1 | 12/12/2008 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| David Fletcher Johnson | 2542168 | 1 | 06/17/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Evaughn Rose Branham-Ferrero | 2745481 | 1 | 05/16/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Peter Sloan | 2178871 | 8 | 08/13/2007 | Customer Dispute | Denied | $15,787.00 | $0.00 | See FINRA Report |
| Bradford McMurray Walker | 2963026 | 1 | 07/17/2007 | Customer Dispute | Settled | $7,237.60 | $0.00 | See FINRA Report |
| Stephen James Sperling | 3061073 | 8 | 09/29/2004 | Customer Dispute | Withdrawn | $10,000.00 | $0.00 | See FINRA Report |
| Timothy John Notaro | 1355563 | 3 | 07/01/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James John Rapp | 2116778 | 2 | 05/20/2004 | Customer Dispute | Denied | $5,500.00 | $0.00 | See FINRA Report |
| Thomas A Knott | 4451069 | 1 | 02/18/2004 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Barry Martin Proctor | 2020802 | 1 | 07/21/2003 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |