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Wellington Investment Services Corp.

Wellington Investment Services Corp. (CRD #23018, Brookfield, Wisconsin) received a censure and fine of $13,500, $7,500 of which was jointly and severally. According to the findings, the firm maintain a Checks Received and Forwarded Blotter for a real estate lease offering. The regulators also found that the firm, acting through an individual, failed to provide a needs analysis, training plan, and proof of attendance for its Firm Element of Continuing Education for the years 2001 and 2002. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C8A040008)

Did Wellington Investment Services Corp. manage your investments?



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