WELLINGTON FUNDS (US) LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 288313). Regulatory assets under management: $5.4B.
Compensation: % of AUM.
Clients served: Other.
| Name | Role | Location |
|---|---|---|
| Carmine A Taglione | PRESIDENT | — |
| Ihsan K Speede | CHIEF COMPLIANCE OFFICER | — |
| NYE JENNIFER L | CHIEF COMPLIANCE OFFICER | — |
| PETERSON TIMOTHY SCOTT | CHIEF COMPLIANCE OFFICER | — |
| KIRK CHRISTOPHER GEORGE | PRESIDENT | — |
| Kramer Amy Beth | PRESIDENT | — |
| TAGLIONE C A | PRESIDENT | — |
| SPEEDE IHSAN K | CHIEF COMPLIANCE OFFICER | — |
| Speede Ihsan | CHIEF COMPLIANCE OFFICER | — |
| Ihsan K. Speede | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-08-12 | regulatory | THE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") SANCTIONED WELLINGTON MANAGEMENT IN RELATION TO THREE INDIVIDUAL ADMINISTRATIVE BREACHES OF LARGE SHAREHOLDER DISCLOSURE REQUIREMENTS. THE BREACHES RELATE TO EVENTS WHICH OCCURRED IN 2016, 2018 AND 2019 RESPECTIVELY. | Final | $183K |
| 2018-06-19 | regulatory | THE FDF ALLEGED THAT WELLINGTON HAD NOT PROVIDED AN ADDITIONAL TABLE THAT PROVIDES A BREAKDOWN OF SHARES AMONG OUR CLIENT ACCOUNTS WITH SIX LARGE SHAREHOLDER DISCLOSURE FILINGS MADE IN 2016 AND 2017 IN ACCORDANCE WITH ART. 151 IN RELATION WITH ART. 120 OF THE FEDERAL ACT ON FINANCIAL MARKET INFRASTR… | Final | $36K |
| 2016-09-20 | regulatory | THE FDF ALLEGED THAT WELLINGTON HAD NOT FILED, WITHIN THE SPECIFIED TIME PERIOD, REPORTS THAT ITS COLLECTIVE OWNERSHIP OF A SWISS SECURITY CROSSED AN OWNERSHIP THRESHOLD. | Final | $7K |