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.,