KENNETH AUGUST MANNINO is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 6952 ROTE ROAD, SUITE 100, ROCKFORD, IL, 61107.
KENNETH AUGUST MANNINO has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since April 27, 1998
Disclosure History
KENNETH AUGUST MANNINO has 5 Disclosure Event(s).
Date: September 09, 2002 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING, UNSUITABILITY, CHURNING. MISREPRESENTITIONS AND BREACH OF FIDUCIARY DUTY. Damage Amount Requested: $600,000.00 Settlement Amount: $50,000.00 Broker Comment: KEN MANNIO WAS DISMISSED PRIOR TO SETTLEMENT.
Date: September 09, 2002 Category: Customer Dispute Allegations: UNAURTHORIZED TRADING, UNSUITABILITY, CHURNING, MISREPRESENTATIONS, BRACH OF FIDUCIARY DUTY. Damage Amount Requested: $817,125.00 Settlement Amount: $12,500.00 Broker Comment: KEN MANNION WAS DISMISSED PRIOR TO SETTLEMENT.
Date: September 05, 2002 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING, UNSUITABILITY, CHURNING, MISREPRESENTATIONS, BREACH OF FIDUCIARY DUTY. Damage Amount Requested: $6,000,000.00 Settlement Amount: $12,500.00 Broker Comment: KEN MANNINO WAS DISMISSED PRIOR TO SETTLEMENT.
Date: February 09, 1996 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATIONS,UNSUITABILITY, AND EXCESSIVE TRANSACTIONS IN HER ACCOUNT. THEDAMAGES ALLEGED ARE IN EXCESS OF $10,000 Damages Granted: $25,000.00 Broker Comment: THE ARBITRATION PANEL ENTERED AN AWARD AGAINSTPRINCIPAL FINANCIAL SECURITIES AND MR MANNINO IN THE AMOUNT OF$25,000 AS A REIMBURSEMENT OF COMMISSIONS.NOT PROVIDED
Date: August 08, 1991 Category: Customer Dispute Allegations: THE STATEMENT OF CLAIM ALLEGED SOMETIME IN1987 MR. MANNINO BEGAN TO CHURN CUSTOMER'S ACCOUNT, MADEUNSUITABLE RECOMMENDATIONS, AND ENGAGED IN UNAUTHORIZEDTRADING. ALLEGED DAMAGES $298,000.00 PLUS INTEREST AND ATTORNEYFEES. Damage Amount Requested: $298,000.00 Settlement Amount: $132,750.00 Broker Comment: MR. MANNINO AGREED TO PAY CUSTOMER$60,000.00 THIS SETTLEMENT WAS NOT TO BE CONSIDERED ANADMISSION OF ANY IMPROPER ACTS, CONDUCT, OR LIABILITY ON THEPART OF THE PARTIES INVOLVED OR THEIR AGENTS. ANY SUCH ACTS,CONDUCT, OR LIABILITY WAS EXPRESSLY DENIED.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for KENNETH AUGUST MANNINO, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.