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| Stephen James Sperling | 3061073 | 8 | 09/29/2004 | Customer Dispute | Withdrawn | $10,000.00 | $0.00 | See FINRA Report |
| Timothy John Notaro | 1355563 | 3 | 07/01/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James John Rapp | 2116778 | 2 | 05/20/2004 | Customer Dispute | Denied | $5,500.00 | $0.00 | See FINRA Report |
| Thomas A Knott | 4451069 | 1 | 02/18/2004 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Steven Paul Swensen | 2951587 | 1 | 02/04/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Barry Martin Proctor | 2020802 | 1 | 07/21/2003 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Timothy John Notaro | 1355563 | 3 | 12/10/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Allen Paneral | 2297786 | 1 | 02/07/2000 | Customer Dispute | Denied | $5,184.00 | $0.00 | See FINRA Report |
| Joseph Anthony Vitale | 2443426 | 3 | 07/29/1999 | Customer Dispute | Denied | $96,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Vitale | 2443426 | 3 | 07/29/1999 | Customer Dispute | Denied | $72,048.00 | $0.00 | See FINRA Report |