Ricky Alan Mantei

08/01/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ricky Alan Mantei (CRD # 1098981), Respondent. DISCIPLINARY PROCEEDING No. 2015045257501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Ricky Mantei circumvented the supervisory system of J.P. Turner & Company ("JPT") on three occasions over the course of a five-month period.

02/18/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORECEMENT, Complainant, v. RICKY ALAN MANTEI, (CRD No. 1098981), Respondent. Disciplinary Proceeding No. 2015045257501 Hearing Officer—DRS EXTENDED HEARING PANEL DECISION February 18, 2021 Respondent violated his firm’s prearranged trading prohibition and circumvented its cross trade procedures by directing prearranged trading with intermediaries in order to facilitate and disguise cross trades. For this misconduct,

05/30/2023: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, Vs. Ricky Alan Mantei Anaheim, California, Respondent. Decision Complaint No. 2015045257501 Dated: May 30, 2023 Respondent violated his firm’s prearranged trading prohibition and circumvented its cross trade procedures by directing prearranged trading with counterparties. Held, findings affirmed and sanctions modified. Appearances For the Complainant: Megan Davis, Esq., Jennifer Crawford, Esq.,

Reference 2015045257501data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

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