Meyer Wilson is investigating claims that South Carolina-based registered representative Ricky Mantei violated industry rules in recommending investments to his customers.
Mantei was associated with the brokerage firm JP Turner & Co., LLC, from 2010 to 2015. He has been registered with Centaurus Financial, Inc., since 2015. Mantei has worked in the securities industry since 1983. Previous employment stints include Merrill Lynch, First Allied Securities, and GunnAllen Financial.
Regulatory records show that Mantei has been the subject of 36 previous customer complaints, most of which relate to his time as a branch office manager. Three customer complaints against Mantei are currently pending. Mantei was previously sanctioned by FINRA in 2019 alleging that he willfully violated MSRB Rule G-17 by circumventing the supervisory system of his member firm while he was seeking to effect a trade between firm customers.
Stockbrokers and investment advisors have special duties to their customers. If they don’t fail to meet these duties, sell unsuitable investments, ignore industry rules, or engage in other misconduct, then they and their supervising brokerage firm can be held legally responsible for customers’ losses.
If you are a former or current customer of Mantei, contact Meyer Wilson today and schedule a free consultation today to learn about your legal options.