Stephen Sperling, with Wintrust Investments, Subject of Several Complaints

PALATINE, ILLINOIS

Have you invested with Stephen Sperling from Palatine, Illinois?  Our investment fraud and securities arbitration law firm is reviewing claims made by a former client of Stephen J. Sperling, with Wintrust Investments.  View his BrokerCheck Report HERE.

Sperling has been a registered representative of Wintrust Investments since 2007 in Palatine, Illinois.  He has been the subject of three customer complaints since 2021 which allege recommendations of unsuitable investments in non-traded REITs, or real estate investment trusts.  One complaint made in 2021 was denied by Wintrust Investments, but there are two pending complaints in FINRA arbitration filed in 2023 involving REITs recommended by Sperling.

Licensed stockbrokers are subject to the rules of FINRA, the Financial Industry Regulatory Authority.  FINRA Rule 2111 provides that financial advisors must make suitable investment recommendations to customers.  The brokerage firm and/or advisor can be liable if Rule 2111 is violated.

Our law firm represents investors throughout the country, including investors in Illinois.  Attorney David Neuman grew up in the western suburbs of Chicago and is licensed to practice law in Illinois.  We have previously represented investors against Wintrust Investments.

If you lost money with Stephen Sperling or Wintrust Investments, please Contact Us at 206-795-5798 for a free evaluation of your case.