Fined: Wellington Shields & Co., LLC Fined by FINRA

Fined

Wellington Shields & Co., LLC Fined by FINRA

An AWC was issued in which the firm was censured and fined $100,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to make and keep accurate records of customer confirmation and trade blotters.

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