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Cataldo Panici (also known as Carlo Panici), of Frankfort, Illinois, a stockbroker currently registered with Wintrust Investments LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $150,000.00 in damages based upon accusations that Panici failed to meet his fiduciary duty in reference to non-traded real estate investment trust transactions during the period that Panici was registered with Wintrust Investments. FINRA Arbitration No. 20-01338 (May 4, 2020). The claim alleges that the customer sustained damages on non-traded REITs and mutual funds.

FINRA Public Disclosure additionally shows that Panici is referenced in a customer initiated investment civil action in which the customer requested $1,085,042.45 in damages based upon allegations of unsuitable mutual fund transactions when Panici was associated with Banc of America Investment Services Inc. Civil Action No. 09L009423.

Panici has been registered with Wintrust Investments as a stockbroker and investment adviser representative since July 17, 2009.