March 2019 – Lexington, SC
The FINRA records of Ricky Alan Mantei , a stockbroker who is employed by Centaurus Financial discloses 3 pending and 5 prior customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 10/2018, a customer of Mantei’s prior employer J.P. Turner was paid $70,000 to resolve allegations that they were sold unsuitable investments from 2010-2016.
The pending customer complaints include:
- A former customer of J.P. Turner & Centaurus seeks damages of $233,238 and alleges Mantei recommended unsuitable investments based on their investment objectives.
- FINRA case 18-3810-a former customer of J.P. Turner & Centaurus seeks damages of $100,000 and alleges Mantei recommended unsuitable investments .
- FINRA case 18-01848-a former customer (beneficiaries of a deceased client’s account) of Summit Brokerage Services seeks damages of $100,000 and alleges Mantei recommended unsuitable investments .
Mantei has been employed by Centaurus Financial since 5/2015. He was with J.P. Turner & Company from May 2010 until 2015. He discloses a business affiliation with Mantei & Associates in Lexington, SC.
If you have losses in an account in an account handled by Ricky Alan Mantei, contact us for a no charge consultation to discuss how you may be able to recover damages for those losses.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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