Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wellington Funds Distributors Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Lloyd Jason Law | 2725560 | 1 | 12/02/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Kehoe Shannon | 6439388 | 1 | 07/31/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |