Articles Tagged with Cory Bataan

Cory BataanPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that New York-based Aegis Capital broker Cory Bataan, who has received several customer disputes, has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bataan (CRD# 2755223).

Cory Bataan has spent 15 years in the securities industry and has been registered with Aegis Capital in Melville, New York since 2012. Previous registrations include Empire Asset Management in New York, New York (2008-2012); Ameritas Investment Corporation in New Hyde Park, New York (2007-2008); and Joseph Stevens & Company in Brooklyn, New York (1996-2001). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 11, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 30, 1996; Series 7 (General Securities Representative Examination), which he obtained on December 3, 2007; and Series 24 (General Securities Principal Examination), which he obtained on October 12, 2010. He is a registered broker with 25 US states and territories.

According to his BrokerCheck report, he has received four customer complaints and one regulatory sanction.