Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Mantei (Mantei), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mantei recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on June 14, 2023.
The Customer alleges that the financial advisor recommended risky, complex, long-term and illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.