#Ricky Alan Mantei Investigation

[rexsecuritieslaw]

Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC

Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a  regulatory event, 9 prior customer disputes and 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms.…

[rexsecuritieslaw]

Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC

Ricky Alan Mantei Investigation Former JP Turner & Centaurus Customers Have Sued for Damages July 2023-Lexington, SC The FINRA records of Ricky Alan Mantei, currently employed by Centaurus Financial and formerly a broker with now defunct JP Turner, disclose a 3 regulatory events, 35 prior customer disputes and 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

[rexsecuritieslaw]

Ricky Mantei-Centaurus Financial Broker-Discloses 3 Pending and 5 Prior Customer Disputes-Lexington, SC

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…