LAWRENCE ANTHONY MANICA is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 40 CORPORATE WOODS BUILDING, 9401 INDIAN CREEK PARKWAY, SUITE 1100, OVERLAND PARK, KS, 66210.
LAWRENCE ANTHONY MANICA has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since December 07, 1971
Disclosure History
LAWRENCE ANTHONY MANICA has 1 Disclosure Event(s).
Date: August 01, 1993 Category: Customer Dispute Allegations: AFTER BECOMING AWARE OF THE ADVERSE PUBLICITYRELATING TO LIMITED PARTNERSHIPS IN 1993, ALLEGATIONS OFUNSUITABILITY WERE RAISED CONCERNING INVESTMENTS MADE IN 1981AND 1982. ALLEGED DAMAGES WERE NOT SPECIFIED BUT COMPLAINANTSPEAKS OF $70,000 - $100,000 OF DAMAGES. Damage Amount Requested: $100,000.00 Settlement Amount: $23,000.00 Broker Comment: STIFEL AND MANICA CONTINUE TO DENY ANY AND ALLWRONGDOING AND/OR LIABILITY; HOWEVER, IN ORDER TO REACH ANAMICABLE RESOLUTION AND TO AVOID THE POSSIBLE EXCESSIVE COSTSOF PROTRACTED LITIGATION, SETTLEMENT OF $23,000 WAS MADE.THE PARTNERSHIP INVESTMENTS BY CUSTOMER HAD BEEN HELDFOR SOME TEN YEARS, HAVE RETURNED TO HER A SIGNIFICANT AMOUNTOF HER ORIGINAL INVESTMENT, AND MANY CONTINUE TO BE ONGOINGVIABLE ENTITIES. THE TOTAL PARTNERSHIP INVESTMENTS WERE ANAPPROPRIATE PORTION OF HER OVERALL BALANCES PORTFOLIO. THECOMPLAINT CONTINUES TO BE REGARDED AS MERITLESS AND NO PART OFTHE PAYMENT WAS CHARGED AGAINST THE INVESTMENT EXECUTIVES.
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