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 | 08/29/2019 | Customer Dispute | Settled | $200,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 08/01/2019 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 06/20/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 06/13/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 05/17/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 04/26/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 11/14/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 10/25/2018 | Customer Dispute | Closed-No Action | $233,238.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 05/21/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 12/23/2016 | Customer Dispute | Settled | $164,000.00 | $0.00 | See Allegations |