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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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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