Our Staff has compiled our research into a database of FINRA Broker Allegations for Ricky Alan Mantei.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Ricky Alan Mantei | 1098981 | 45 | 10/02/2023 | Customer Dispute | Pending | $499,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 06/14/2023 | Customer Dispute | Settled | $200,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 02/06/2023 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 02/06/2023 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 10/26/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 09/23/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 02/04/2021 | Customer Dispute | Settled | $125,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 08/10/2020 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 05/11/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 04/27/2020 | Customer Dispute | Settled | $128,000.00 | $0.00 | See Allegations |