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Violation Tracker Individual Record

Company: Centaurus Financial Inc.
Penalty: $650,000
Year: 2023
Date: February 6, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Attorney General Alan Wilson announced that a securities broker-dealer and its agent in Lexington have settled allegations that they violated state securities laws and will pay $650,000 in penalties and costs. Broker-dealer Centaurus Financial, Inc., of Anaheim, California, its agent, Ricky Mantei, and his company, Mantei & Associates, LLC, of Lexington, South Carolina entered into a Consent Order with the Securities Division, which settled allegations that they violated South Carolina securities laws in their sales of complex structured securities products, known as steepeners, and in their sales of certain unlisted bonds.
Level of Government: state
Action Type: agency action
Agency: South Carolina Attorney General
Civil or Criminal Case: civil
Facility State: South Carolina
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.