LAWRENCE ANTHONY MANICA at STIFEL, NICOLAUS & COMPANY, INCORPORATED – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 318682
LAWRENCE ANTHONY MANICA is an Investment Adviser, associated with STIFEL, NICOLAUS & COMPANY, INCORPORATED located at OVERLAND PARK, KS. LAWRENCE MANICA’s Central Registration Depository (CRD) number is 318682 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for LAWRENCE MANICA

    • Event Date: 8/1/1993
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: AFTER BECOMING AWARE OF THE ADVERSE PUBLICITY RELATING TO LIMITED PARTNERSHIPS IN 1993, ALLEGATIONS OF UNSUITABILITY WERE RAISED CONCERNING INVESTMENTS MADE IN 1981 AND 1982. ALLEGED DAMAGES WERE NOT SPECIFIED BUT COMPLAINANT SPEAKS OF $70,000 – $100,000 OF DAMAGES.
    • Damage Amount Requested: $100,000.00
    • Settlement Amount: $23,000.00
    • Arbitration Docket Number:
    • Broker Comment: STIFEL AND MANICA CONTINUE TO DENY ANY AND ALL WRONGDOING AND/OR LIABILITY; HOWEVER, IN ORDER TO REACH AN AMICABLE RESOLUTION AND TO AVOID THE POSSIBLE EXCESSIVE COSTS OF PROTRACTED LITIGATION, SETTLEMENT OF $23,000 WAS MADE. THE PARTNERSHIP INVESTMENTS BY CUSTOMER HAD BEEN HELD FOR SOME TEN YEARS, HAVE RETURNED TO HER A SIGNIFICANT AMOUNT OF HER ORIGINAL INVESTMENT, AND MANY CONTINUE TO BE ONGOING VIABLE ENTITIES. THE TOTAL PARTNERSHIP INVESTMENTS WERE AN APPROPRIATE PORTION OF HER OVERALL BALANCES PORTFOLIO. THE COMPLAINT CONTINUES TO BE REGARDED AS MERITLESS AND NO PART OF THE PAYMENT WAS CHARGED AGAINST THE INVESTMENT EXECUTIVES.


Should I file a FINRA complaint against brokers like LAWRENCE ANTHONY MANICA?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by LAWRENCE ANTHONY MANICA’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About LAWRENCE ANTHONY MANICA

What is LAWRENCE MANICA's Central Registration Depository (CRD) Number?

318682

Which firm is LAWRENCE ANTHONY MANICA associated with?

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Where is LAWRENCE MANICA located?

40 CORPORATE WOODS BUILDING, OVERLAND PARK, KS, 66210

Where can I find more details about LAWRENCE MANICA's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/793 to read a detailed report for STIFEL, NICOLAUS & COMPANY, INCORPORATED

Are there any disclosures, allegations or complaints filed against LAWRENCE ANTHONY MANICA?

Yes. There are disclosures, allegations, or complaints filed against LAWRENCE ANTHONY MANICA. Click here to view all details

Where can I download a detailed FINRA report for LAWRENCE MANICA?

Click here to download a detailed FINRA report for LAWRENCE MANICA

Is it safe to do business with LAWRENCE ANTHONY MANICA?

We’re not sure. Please research LAWRENCE MANICA’s disclosures, allegations and complaints before taking a decision


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