Request A Resolution

Resolution is required when a complaint arises.
This is our process for handling complaints.

Report a Complaint


I love being a part of a team that genuinely works towards making a difference in people’s lives.


Frank Mauro
B.Comm, Founder & Senior Vice-President

Getting your constructive feedback will help us improve the quality of products and services we provide.

Any client may submit a complaint. If you’re lodging a complaint on behalf of someone else or a group of persons, please be sure to provide identification for each individual and evidence of authority to represent them.

Unfortunately, we can’t accept anonymous complaints. However, material can be submitted confidentially to support a complaint. This information will not be shared with any third parties without the consent of the person who provided the information.

We have a process in place if you ever have a concern with our service.

To ensure your issue gets resolved efficiently and effectively, please follow the steps below.


How to Submit a Complaint

Please send any written complaint by email, 
post or fax to:

Designated Complaints Officer
Wellington-Altus Private Wealth Compliance Department

Wellington-Altus Private Wealth
201 Portage Avenue, 3rd Floor
Winnipeg, MB, R3B 3K6, Canada

You can also contact the Compliance Department at our toll-free number:

Toll-free Phone: 1.888.315.8729
Fax: 204.289.2833

What to Include in a Complaint

There isn’t a specific format, but please provide the following details:

• Your name, address and other relevant contact information (phone, fax, cell, email).
• If you are representing a complainant, please provide contact information for yourself and also for the person or group of persons you are representing.
• A description of the nature of the complaint.
• Background information about your complaint, including a chronology of events and the steps you may already have taken in an attempt to resolve the issue or raise your concerns.

Acknowledging Receipt

Our Compliance Department will acknowledge the receipt of your letter by postal mail within five (5) days of receiving your complaint.

This acknowledgement will confirm the name and contact information of the individual handling your file. We will also enclose the Investment Industry Organization of Canada (IIROC) brochure entitled “An Investor’s Guide to Making a Complaint” for your reference.

Appraising a Complaint

Our Compliance Department will review your complaint and the circumstances surrounding it.

In conducting our review, we may contact you or your authorized representative if we need more information to resolve the complaint. The review and assessment stage may be completed promptly or may need further in-depth analysis.

Within 90 days, we’ll send you a substantive response to your complaint in writing. If more time is required to review your complaint, we’ll let you know in writing, along with an expected completion date for our review.

The response letter will include an outline of your complaint, Wellington-Altus Private Wealth Compliance Department’s decision on the complaint and the reason for our decision. Also included in the letter will be additional information regarding your options to escalate your concerns if you’re dissatisfied with the outcome of this review. This includes the contact information for IIROC and the Ombudsman for Banking Services and Investments (OBSI).