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 |
|---|---|---|---|---|---|---|---|---|
| David Andrew Gaffney | 3004164 | 1 | 09/18/2019 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Stephen James Sperling | 3061073 | 8 | 03/08/2018 | Customer Dispute | Closed-No Action | $27,000.00 | $0.00 | See FINRA Report |
| Chad Michael Vandenbusch | 2580669 | 2 | 04/28/2017 | Customer Dispute | Closed-No Action | $48,177.00 | $0.00 | See FINRA Report |
| Jude Uche Nwaiwu | 2996752 | 1 | 07/15/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sean H Claiborne | 4949746 | 2 | 04/01/2015 | Customer Dispute | Denied | $12,800.00 | $0.00 | See FINRA Report |
| Myra A Perez | 5181539 | 4 | 10/07/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nick Panos Stavropoulos | 5347879 | 1 | 11/15/2012 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| Michael Peter Sloan | 2178871 | 8 | 08/08/2012 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas James Mahoney | 2599610 | 1 | 10/13/2011 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Sean H Claiborne | 4949746 | 2 | 04/22/2010 | Customer Dispute | Denied | $12,290.00 | $0.00 | See FINRA Report |