Nov 14, 2023

Stephen Sperling of Wintrust Investments LLC

DID STEPHEN JAMES SPERLING CAUSE YOU INVESTMENT LOSSES? Stephen Sperling Of Wintrust Investments LLC Has 6 Customer Complaints For Alleged Broker Misconduct Stephen Sperling Customer Complaints Stephen Sperling has been the subject of 6 customer complaints that we know about to recover investment losses. Four of the customer complaints were recently denied by Wintrust Investments and, to date, the investors have not taken any further action. The other 2 customer complaints were recently filed and are still pending against Wintrust Investments. Allegations Against Stephen Sperling A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Stephen Sperling Red Flags & Your Rights As An Investor Of course, Stephen Sperling did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Stephen Sperling at Wintrust Investments LLC on alert to review carefully the activity and performance of their accounts and question whether Stephen Sperling has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wintrust Investments LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Wintrust Investments LLC Due To Stephen Sperling If you have questions about Wintrust Investments LLC and/or Stephen Sperling and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 29, 2023

Michael Sloan of Wintrust Investments LLC

DID MICHAEL PETER SLOAN CAUSE YOU INVESTMENT LOSSES? Michael Sloan Of Wintrust Investments LLC Has 7 Customer Complaints For Alleged Broker Misconduct Michael Sloan Customer Complaints Michael Sloan has been the subject of 7 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by Michael Sloan’s employers in favor of the investors. Four other customer complaints were denied by the brokerage firm and, to date, the customers have not taken any further action. There is currently one FINRA arbitration proceeding pending against Wintrust Investments for Michael Sloan’s alleged misconduct. Allegations Against Michael Sloan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Michael Sloan Red Flags & Your Rights As An Investor Of course, Michael Sloan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Sloan at Wintrust Investments LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Sloan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wintrust Investments LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Wintrust Investments LLC Due To Michael Sloan If you have questions about Wintrust Investments LLC and/or Michael Sloan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jul 1, 2023

Scott Steinhorst formerly with Wintrust Investments LLC

DID SCOTT ROBERT STEINHORST CAUSE YOU INVESTMENT LOSSES? Scott Steinhorst Formerly With Wintrust Investments LLC Has 2 Customer Complaints For Alleged Broker Misconduct Scott Steinhorst Customer Complaints Scott Steinhorst has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were denied by Scott Steinhorst’s for employers and to date, customers have not taken any further action. Allegations Against Scott Steinhorst A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Scott Steinhorst Red Flags & Your Rights As An Investor Of course, Scott Steinhorst did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Scott Steinhorst at Wintrust Investments LLC on alert to review carefully the activity and performance of their accounts and question whether Scott Steinhorst has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wintrust Investments LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Wintrust Investments LLC Due To Scott Steinhorst If you have questions about Wintrust Investments LLC and/or Scott Steinhorst and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jun 27, 2022

Cataldo Panici of Wintrust Investments LLC

DID CATALDO PANICI CAUSE YOU INVESTMENT LOSSES? Cataldo Panici Of Wintrust Investments LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Cataldo Panici of Wintrust Investments LLC? Cataldo Panici (CRD #2112617) who is currently registered with Wintrust Investments LLC and located in Frankfort, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Cataldo Panici Customer Complaints Cataldo Panici has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Cataldo Panici’s customer complaints was denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Cataldo Panici’s current employer Wintrust Investments LLC for investment losses caused by the alleged misconduct. Allegations Against Cataldo Panici A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations to purchase mutual funds. Breach of fiduciary duty recommendations to purchase 9-traded REITs and mutual funds. Cataldo Panici Red Flags & Your Rights As An Investor Of course, Cataldo Panici did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Cataldo Panici at Wintrust Investments LLC on alert to review carefully the activity and performance of their accounts and question whether Cataldo Panici has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wintrust Investments LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wintrust Investments LLC Due To Cataldo Panici If you have questions about Wintrust Investments LLC and/or Cataldo Panici and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jun 6, 2022

Chad Vandenbusch of Wintrust Investments LLC

As a client, you choose to entrust your money to a broker you can trust. This is why it’s critical to understand everything there is to know about the person managing your funds. This data may assist you in determining whether or not to work with a particular broker. If you believe Chad Vandenbusch has caused you financial losses, we may be able to help you resolve any issues or concerns you have. DID CHAD MICHAEL VANDENBUSCH CAUSE YOU INVESTMENT LOSSES? Chad Vandenbusch Of Wintrust Investments LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Chad Vandenbusch of Wintrust Investments LLC? Chad Vandenbusch (CRD #2580669) who is currently registered with Wintrust Investments LLC and located in Appleton, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Chad Vandenbusch Customer Complaints Chad Vandenbusch has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Chad Vandenbusch’s 2 customer complaints was settled in favor of investor. One of Chad Vandenbusch’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Chad Vandenbusch A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Misrepresentation of structured steepener CDs and non-traded REITs as being safer than investments in conventional equities. Performance of fixed income structured products. Chad Vandenbusch Red Flags & Your Rights As An Investor Of course, Chad Vandenbusch did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Chad Vandenbusch at Wintrust Investments LLC on alert to review carefully the activity and performance of their accounts and question whether Chad Vandenbusch has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wintrust Investments LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wintrust Investments LLC Due To Chad Vandenbusch If you have questions about Wintrust Investments LLC and/or Chad Vandenbusch and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Timothy Notaro of Wintrust Investments

DID TIMOTHY NOTARO CAUSE YOU INVESTMENT LOSSES? Timothy Notaro Of Wintrust Investments LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Timothy Notaro of Wintrust Investments LLC? Timothy Notaro (CRD #1355563) who is currently registered with Wintrust Investments LLC and located in Libertyville, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Timothy Notaro Customer Complaints Timothy Notaro has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Timothy Notaro’s 3 customer complaints was settled in favor of investors. Two of Timothy Notaro’s customers complaints were denied and the customers, to date, have not taken any further action. Allegations Against Timothy Notaro A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged her investments are too risky for her investment objective.  Customer alleged that Representative Tim Notaro’s email to her was inaccurate and as a result she took a loss in the 1035 exchange and cannot cancel it without penalty whereas she could have sold her old annuity with no surrender charge. Northern Trust Securities received a verbal complaint in from the client. Client was upset about the poor performance of the mutual funds in the account allegedly by Tim Notaro. Northern trust securities settled with the client for $20,000 to avoid the cost and uncertainty of potential arbitration. Timothy Notaro Red Flags & Your Rights As An Investor Of course, Timothy Notaro did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Timothy Notaro at Wintrust Investments LLC on alert to review carefully the activity and performance of their accounts and question whether Timothy Notaro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wintrust Investments LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wintrust Investments LLC Due To Timothy Notaro If you have questions about Wintrust Investments LLC and/or Timothy Notaro and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

David Gaffney of Wintrust Investments, LLC

DID DAVID ANDREW GAFFNEY CAUSE YOU INVESTMENT LOSSES? David Andrew Gaffney With Wintrust Investments, LLC Has A Recent Customer Complaint for Alleged Broker Misconduct Who is David A. Gaffney with Wintrust Investments, LLC? David Gaffney (CRD #3004164) who is currently registered with Wintrust Investments, LLC and located in New Lenox, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Wintrust Investments, LLC, David Gaffneywas associated with RBC Capital Markets, LLC and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wintrust Investments, LLC Broker Misconduct David Gaffney has recently been the subject of a customer complaint that we know about that was filed in the last year to recover investment losses.   The customer alleged that David Gaffney provided an unsuitable “hold” investment recommendation related to the Northstar Healthcare and Income non-traded REIT investments. David Gaffney’s customer complaint was settled in favor of the investor. David Gaffney Red Flags & Your Rights as An Investor Of course, David Gaffney did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of David Gaffney at Wintrust Investments, LLC and RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether David Gaffney has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Wintrust Investments, LLC, and RBC Capital Markets, LLC also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at Wintrust Investments, LLC and RBC Capital Markets, LLC If you have questions about Wintrust Investments, LLC, RBC Capital Markets, LLC and/or David Gaffney and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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