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Stephen Sperling Of Wintrust Investments LLC Has 6 Customer Complaints For Alleged Broker Misconduct

Who is Stephen Sperling of Wintrust Investments LLC?

Stephen Sperling

Stephen Sperling (CRD #3061073) who is currently registered as a broker and investment adviser with Wintrust Investments LLC and located in Palatine, Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wintrust Investments LLC, Stephen Sperling was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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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:

  • Unsuitable recommendation to invest in the significant portion of client’s assets in non-traded REITs and failure to provide full disclosure of all risk associated with the investments.
  • Misrepresentation of REIT investments in safe, conservative, and income-producing and failing to disclose risks including lack of liquidity or the complex nature of the alternative investments recommended.
  • Failure to disclose the risk and liquidity of non-traded REITs.

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?

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 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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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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