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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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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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