2020067277901 Jeffrey Max Cohen CRD 2528929 AWC vr (2023-1688602806964).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067277901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeffrey Max Cohen (Respondent)
Former General Securities Representative; Former Corporate Securities Representative
CRD No. 2528929
Pursuant to FINRA Rule 9216, Respondent Jeffrey Max Cohen submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2015045257501 Ricky Alan Mantei CRD 1098981 NAC Decision jlg (2023-1688429989782).pdf
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.,
19-02755(3).pdf
eCaseView PDF/A, Clerk of the Circuit Court & Comptroller Palm Beach County