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Broker Ricky Alan Mantei Suspended by FINRA For Violating Firm Prearranged Trading Prohibitions – Lexington, SC

FINRA has suspended Ricky Alan Mantei from the securities industry for 30 business days. According to an Office of Hearing Officers (“OHO”) decision from February 18, 2021, Mantei violated his firm’s prearranged trading prohibition and circumvented its cross-trade procedures by directing prearranged trading with intermediaries in order to facilitate and…

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