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Michael Sloan Of Wintrust Investments LLC Has 7 Customer Complaints For Alleged Broker Misconduct

Who is Michael Sloan of Wintrust Investments LLC?

Michael Sloan

Michael Sloan (CRD #2178871) who is currently registered as a broker and investment adviser with Wintrust Investments LLC and located in St. Charles, Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wintrust Investments LLC, Michael Sloan was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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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:

  • Recommendations to purchase non-traded REITs were unsuitable.
  • Sale of mutual fund was unsuitable.
  • Misrepresentation and unsuitability regarding a mutual fund investment.
  • Unsuitable investment advice with regard to a high commission non-traditional product that resulted in significant losses.
  • Failure to follow customer’s instructions.

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?

best investment fraud lawyers

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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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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