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 | 02/26/2020 | Customer Dispute | Settled | $171,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 02/18/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 02/12/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 01/23/2020 | Customer Dispute | Settled | $410,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 01/22/2020 | Customer Dispute | Settled | $230,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 01/16/2020 | Customer Dispute | Settled | $143,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 12/13/2019 | Customer Dispute | Settled | $245,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 12/13/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 12/10/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 12/09/2019 | Customer Dispute | Settled | $51,000.00 | $0.00 | See Allegations |