Wintrust Investments LLC

There are Recent Customer Complaints with Broker Todd Bessey in Firm Wintrust Investments LLC

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Bessey (Bessey), previously associated with Wintrust Investments LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bessey 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 $500,000.00 on July 19, 2021.

Claim alleges lack of suitability, misrepresentation, and failure to perform adequate due diligence in that clients were overconcentrated in high-risk, illiquid alternative investments to maximize commissions that were risky and as a result clients suffered substantial losses.

Broker George Hovany in Wintrust Investments LLC Firm Has Customer Complaint

January 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Hovany (Hovany), previously associated with Wintrust Investments LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hovany 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 $7,626.46 on December 06, 2021.

Client is upset they cannot liquidate non-traded Real Estate Investment Trust. Client further alleges that representative misrepresented the product and its liquidity.

There are Recent Customer Complaints with Broker Stephen Sperling in Firm Wintrust Investments LLC

April 1, 2025 | by Staff Attorney

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.