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 |
|---|---|---|---|---|---|---|---|---|
| Stephen James Sperling | 3061073 | 8 | 07/06/2023 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Michael Peter Sloan | 2178871 | 8 | 07/29/2022 | Customer Dispute | Withdrawn | $30,700.00 | $0.00 | See FINRA Report |
| Stephen James Sperling | 3061073 | 8 | 09/29/2004 | Customer Dispute | Withdrawn | $10,000.00 | $0.00 | See FINRA Report |