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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Michael Peter Sloan | 2178871 | 8 | 06/18/2009 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| George James Delgiudice | 1960396 | 3 | 03/09/2009 | Customer Dispute | Denied | $175,000.00 | $0.00 | See FINRA Report |
| Steven Mark Diamond | 2674144 | 1 | 12/12/2008 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| David Fletcher Johnson | 2542168 | 1 | 06/17/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Evaughn Rose Branham-Ferrero | 2745481 | 1 | 05/16/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| George James Delgiudice | 1960396 | 3 | 11/02/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Peter Sloan | 2178871 | 8 | 08/13/2007 | Customer Dispute | Denied | $15,787.00 | $0.00 | See FINRA Report |
| Bradford McMurray Walker | 2963026 | 1 | 07/17/2007 | Customer Dispute | Settled | $7,237.60 | $0.00 | See FINRA Report |