STEPHEN SPERLING Has Multiple Investor Complaints – Goodman & Nekvasil, P.A., May Recover Investor Losses
WINTRUST INVESTMENTS investment adviser, STEPHEN SPERLING has multiple investor complaints. Sperling is the Senior Vice President of Investments at Wayne Hummer Investments, according to his LinkedIn account.
CRD#: 3061073
STEPHEN JAMES SPERLING (CRD#: 3061073), a registered broker for WINTRUST INVESTMENTS LLC in PALATINE, IL, has multiple investor complaints. According to SPERLING’s FINRA BrokerCheck report, the most recent customer complaint is alleging that Representative Sperling promised claimant she would receive a 6.5% return on investment and a monthly dividend of $900.00 and failed to inform claimant that she was investing in an illiquid investment.
Claim also alleges that Mr. Sperling recommended holding the REIT at all times. Claimant filed for FINRA Arbitration against Wintrust Investments alleging that Representative Sperling sold claimant an illiquid REIT for guaranteed consistent income and that he encouraged the claimant to continue to hold the investment and that the claimant did not know the investment was an illiquid REIT until it stopped paying dividends.
STEPHEN SPERLING Has Multiple Customer Complaints
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 11/19/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.