{"id":7462,"date":"2018-12-28T16:38:22","date_gmt":"2018-12-28T21:38:22","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7462"},"modified":"2018-12-28T16:43:14","modified_gmt":"2018-12-28T21:43:14","slug":"broker-ricky-mantei-subject-to-allegations-of-unsuitability","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-ricky-mantei-subject-to-allegations-of-unsuitability\/","title":{"rendered":"Broker Ricky Mantei Subject To Allegations Of Unsuitability"},"content":{"rendered":"

Ricky Allen Mantei (CRD #1098981<\/a>, aka \u201cRicky Allen Mantel\u201d) 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.<\/p>\n

\"FINRA-Orders-Interactive-Brokers-LLC-to-Pay-Hedge-Fund-667000-1024x1024-300x300\"Mantei is the subject of eight disclosures, three of which are currently pending customer disputes, all with the allegations of \u201cunsuitability.\u201d The most recent were filed on 10\/25\/2018 and 9\/28\/2018, with requested damages totaling $268,238.<\/p>\n

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 \u201cunsuitable investments\u201d 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.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Ricky Allen Mantei (CRD #1098981, aka \u201cRicky Allen Mantel\u201d) 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 […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588,580,576],"tags":[856,1351,1352,1344,209],"class_list":["post-7462","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-stockbroker-misconduct","category-unsuitable-investment-advice","tag-centaurus-financial","tag-ricky-mantei","tag-ricky-mantei-centaurus-financial","tag-securities-fraud-attorney","tag-unsuitability"],"yoast_head":"\nBroker Ricky Mantei Subject To Allegations Of Unsuitability — Securities Arbitration Lawyers Blog — December 28, 2018<\/title>\n<meta name=\"description\" content=\"Ricky Allen Mantei (CRD #1098981, aka \u201cRicky Allen Mantel\u201d) is a registered broker currently employed with Centaurus Financial, Inc. 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