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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Stephen Jovanovich | 2948544 | 2 | 01/09/2024 | Customer Dispute | Pending | $61,308.00 | $0.00 | See FINRA Report |
| Stephen James Sperling | 3061073 | 8 | 01/09/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Cataldo Panici | 2112617 | 3 | 01/09/2024 | Customer Dispute | Pending | $355,000.00 | $0.00 | See FINRA Report |
| Brenda Ann Hafeman | 4161314 | 8 | 12/29/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brenda Ann Hafeman | 4161314 | 8 | 12/01/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brenda Ann Hafeman | 4161314 | 8 | 12/01/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephen James Sperling | 3061073 | 8 | 10/19/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |