brokerwatch

Michael Sloan | Wintrust Investments

According to FINRA’s BrokerCheck, Michael Sloan is the subject of 5 disclosures. The most recent one is a Customer Dispute from November 2021, for his “recommendations to purchase non-traded REITs [which] were unsuitable and made to maximize commissions.” This Customer Dispute (amount requested: $100,000) is still pending. Previous allegations included unsuitable recommendations, misrepresentations and “failure to follow instructions related to variable annuity”.

Prior to Wintrust Investments, Michael Sloan was registered with Chase Investments Services, Banc One Securities Corporation, Josepthtal & Co., Solomon Smith Barney, H.J. Meyers & Co., and First Albany Corporation.

If you invested with Michael Sloan of Wintrust Investments, contact Peiffer Wolf  immediately for a FREE Consultation.

To review Michael Sloan’s BrokerCheck report, click here:

https://brokercheck.finra.org/individual/summary/2178871

*BrokerCheck is run by the Financial Industry Regulatory Authority, Inc. (FINRA)

Michael Sloan and the Wintrust Investments Investigation

Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

Based on our experience, we believe that there are more investors who may have been the victims of Michael Sloan’s alleged broker misconduct and investment fraud. If you invested with Michael Sloan of Wintrust Investments, contact Peiffer Wolf  immediately for a FREE Consultation. 585-310-5140.

Contact Us Today | Free Consultations | 585-310-5140

We have represented thousands of victims of investment fraud against financial institutions that failed to discharge their duties and protect the investing public. Each case is different and our past successes are not indicative of future results. We will be glad to review your case and advise you as to your options, at no charge.

If you believe you lost money because of investment fraud, it is important to take action. Contact Peiffer Wolf for a FREE Consultation by calling 585-310-5140 or by filling out an online Contact Form on this website. We can hear your situation and explore your legal options. There is no charge for this evaluation.