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Ricky Mantei Of Centaurus Financial, Inc. Has 40 Customer Complaints For Alleged Broker Misconduct

Who is Ricky Mantei of Centaurus Financial, Inc.?

Ricky Mantei

Ricky Mantei (CRD #1098981) who is currently registered as a broker and investment adviser with Centaurus Financial, Inc. and located in Lexington, South Carolina, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Centaurus Financial, Inc., Ricky Mantei was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ricky Mantei has had multiple regulatory complaints filed against him. The SEC, FINRA, and South Carolina Securities Commissioner have all sanctioned him.

Investment Losses? Let’s talk.

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Ricky Mantei Customer Complaints

Ricky Mantei has been the subject of 40 customer complaints that we know about to recover investment losses. Thirty-five of the customer complaints were settled by Ricky Mantei’s former and current employers in favor of the investors. Three of the customer complaints were denied and today, no further action has been taken. There are two customer complaints pending in FINRA arbitration proceedings.

Allegations Against Ricky Mantei

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Misrepresentation and unsuitable investment recommendations in breach of his fiduciary duty.
  • Improper use of margin and improper investment recommendations.
  • Unauthorized trading and unsuitability.
  • Recommendation of unsuitable investments.
  • Negligence, fraudulent activity with respect to investments in breach of fiduciary duty.
  • Failure to supervise.

Ricky Mantei Red Flags & Your Rights As An Investor

Of course, Ricky Mantei did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ricky Mantei at Centaurus Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ricky Mantei has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Centaurus Financial, Inc. Due To Ricky Mantei

If you have questions about Centaurus Financial, Inc. and/or Ricky Mantei and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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