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."
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com