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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Michelle Marlowe | 3084917 | 1 | 06/20/2024 | Customer Dispute | Denied | $205,687.00 | $0.00 | See FINRA Report |
| Joseph Anthony Vitale | 2443426 | 3 | 06/16/2024 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Stephen James Sperling | 3061073 | 8 | 09/20/2021 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Timothy John Notaro | 1355563 | 3 | 04/10/2020 | Customer Dispute | Denied | $65,135.00 | $0.00 | See FINRA Report |
| Sean H Claiborne | 4949746 | 2 | 04/01/2015 | Customer Dispute | Denied | $12,800.00 | $0.00 | See FINRA Report |
| Michael Peter Sloan | 2178871 | 8 | 08/08/2012 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Sean H Claiborne | 4949746 | 2 | 04/22/2010 | Customer Dispute | Denied | $12,290.00 | $0.00 | See FINRA Report |
| Cataldo Panici | 2112617 | 3 | 11/17/2009 | Customer Dispute | Denied | $1,085,040.00 | $0.00 | See FINRA Report |
| Michael Peter Sloan | 2178871 | 8 | 08/25/2009 | Customer Dispute | Denied | $75,065.30 | $0.00 | See FINRA Report |
| George James Delgiudice | 1960396 | 3 | 03/09/2009 | Customer Dispute | Denied | $175,000.00 | $0.00 | See FINRA Report |