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 |
|---|---|---|---|---|---|---|---|---|
| Myra A Perez | 5181539 | 4 | 12/12/2023 | Financial | Final | $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 |
| Brenda Ann Hafeman | 4161314 | 8 | 11/01/2023 | Financial | Final | $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 |
| Stephen James Sperling | 3061073 | 8 | 07/06/2023 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Brenda Ann Hafeman | 4161314 | 8 | 07/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen James Sperling | 3061073 | 8 | 05/08/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Brenda Ann Hafeman | 4161314 | 8 | 04/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brenda Ann Hafeman | 4161314 | 8 | 03/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |