SEC News
- SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm May 16, 2013FOR IMMEDIATE RELEASE2013-90 Washington, D.C., May 16, 2013 — The Securities and Exchange Commission today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking scheme that garnered them nearly $2 million in illicit profits, which they spent on luxury homes, vehicles, and vacations. Addition […]
- SEC Names Keith F. Higgins as Director of Division of Corporation Finance May 15, 2013FOR IMMEDIATE RELEASE2013-89 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today named Keith F. Higgins as the new director of the agency’s Division of Corporation Finance. Mr. Higgins comes to the SEC from the law firm of Ropes & Gray LLP where he is a partner in its Boston office with 30 years of experience advising public com […]
- SEC Names Lona Nallengara as Chief of Staff May 15, 2013FOR IMMEDIATE RELEASE2013-88 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today announced that Lona Nallengara has been named the agency’s chief of staff. Mr. Nallengara came to the SEC in March 2011 and served as deputy director for legal and regulatory policy in the Division of Corporation Finance until he was appointed in Decemb […]
- SEC Charges China-Based Executives in Scheme to Overstate Revenues and Divert Money for Personal Use May 15, 2013FOR IMMEDIATE RELEASE2013-87 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today charged husband-and-wife executives at a China-based company with engaging in a scheme to overstate the company’s revenues and divert proceeds from a securities offering for their personal use. Additional Materials SEC Complaint The SEC alleges that RIN […]
- SEC, FINRA Issue Investor Alert On Pension or Settlement Income Streams May 9, 2013FOR IMMEDIATE RELEASE2013-86 Washington, D.C., May 9, 2013 — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selli […]
TAG | Corey Lamar Battey Clermont FL
18
Florida Rep Fined and Suspended by FINRA
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
