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.
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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