Cataldo Panici (CRD#2112617) and WINTRUST INVESTMENTS LLC

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Cataldo Panici (CRD#2112617) regarding allegations made regarding the following:

Claim(s) Made Against Cataldo Panici:

Claim Date: 1/9/2024

“Claimant [REDACTED] filed for FINRA Arbitration against Wintrust Investments alleging that Representative Panici misinformed and mismanaged the client account resulting in substantial losses. Claimant [REDACTED] filed for FINRA Arbitration against Wintrust Investments alleging that Representative Panici stated that investing in the Northstar and Griffin Capital REITs would give good dividends that could be used to invest to grow the childrens college fund. He further recommended the [REDACTED] should keep holding on to the investment and it would become steady leading to substantial losses to their children‘s college fund. Claimants [REDACTED] and [REDACTED] filed for FINRA Arbitration against Wintrust Investments alleging that Representative Panici promised their parents an 8 year return of their investment which was not true. Claimants allege that Mr. Panici misrepresented and took advantage of an elderly couple and their diminished capacity causing considerable loss.”

This claim, as of this posting, is currently Pending with a claim amount of $355,000.00 .

Claim Date: 5/4/2020

“Clients allege firm and representative failed to meet its fiduciary duty and purchased speculative investments for which the clients have suffered significant damages.”

This claim, as of this posting, is currently Settled with a claim amount of $150,000.00 .

The investor was paid $12,500.00 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for Cataldo Panici.

Have an issue with Cataldo Panici?

The Securities Lawyers have recovered millions of dollars for investors across the country and are currently investigating the possibility of bringing claims on behalf of individual or group investors who have suffered losses. If you were a customer of Cataldo Panici and WINTRUST INVESTMENTS LLC and experienced investment losses, please contact the Securities Lawyers. We only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It is important to note that there may be time limits or statutes of limitations that apply to your claim, so it is crucial to speak with an attorney as soon as possible.

If you are a former client of Cataldo Panici and WINTRUST INVESTMENTS LLC from FRANKFORT, IL, and have encountered any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. want to speak with you about the possibility of pursuing a claim. Brokerage firms have a duty to oversee all of their registered representatives, including Cataldo Panici, and ensure that they follow all securities regulations, rules, and internal policies. If a brokerage firm fails in this duty, it may be held accountable for investment losses sustained by customers due to a lack of supervision.


Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.