Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Sperling (Sperling), previously associated with Wintrust Investments LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Sperling recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $22,739.76 on September 10, 2024.
Client alleges she was sold a five-year fixed annuity that did not meet her liquidity needs and overconcentrated her assets in annuities.