KENNETH AUGUST MANNINO

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

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