Ricky Allen Mantei (CRD #1098981, aka “Ricky Allen Mantel”) is a registered broker currently employed with Centaurus Financial, Inc. (CRD #30833) of Lexington, SC. His previous employers include J.P. Turner & Company, L.L.C. (CRD #43177), Gunnallen Financial, Inc. (CRD #17609), First Allied Securities, Inc. (CRD #32444), also of Lexington, SC.
Mantei is the subject of eight disclosures, three of which are currently pending customer disputes, all with the allegations of “unsuitability.” The most recent were filed on 10/25/2018 and 9/28/2018, with requested damages totaling $268,238.
The third customer dispute, filed on 5/21/2018, is from by the daughter of a deceased client. In this case, a registered representative under Mantei recommended “unsuitable investments” which resulted in a loss upon liquidation. The damages requested total $100,000. Mantei states in his rebuttal that he was acting in his capacity as Branch Manager for the Office of Supervisory Jurisdiction where the RR was assigned, there was a survivorship option involved, and denies the allegations.
A previous customer dispute with allegations of “unsuitable investments” filed on 12/23/2016 indicated that the investments sold were from 2010 through 2016. The client requested damages of $164,000, and the firm settled for $70,000. Mantei denied the allegations.
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