TAG | Corey Lamar Battey Clermont FL
Comments off · Posted by Securities Lawyer in FINRA
Corey Lamar Battey (CRD #4123425, Registered Representative, Clermont, Florida)
was fined $5,000 and has ben suspended from association with any FINRA member in any capacity for six months.
This fine will be due and payable if and when Battey re-enters the securities industry. These sanctions were based on FINRA’s findings that Battey failed to respond to FINRA in a timely manner for their requests for documents and information.
Corey Battey’s suspension is in effect from April 16, 2012, through October 16, 2012.
(FINRA Case #2009021048402)
This information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions for June 2012.”
Broker failure to respond to FINRA requsest for information · brokerage supervisory deficiencies · Corey Battey · Corey Lamar Battey Clermont FL · failure to respond to FINRA · failure to respond to FINRA requests · failure to supervise brokers · Financial Industry Regulatory Authority · FINRA · FINRA arbitration · FINRA brokercheck · finra lawyer · fort lauderdale securities fraud lawyer · Ft. Lauderdale Securities Lawyer · inadequate supervisory procedures by broker/dealers · Lars K. Soreide · securities lawyer · Soreide Law Group PLLC · supervisory failures