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."
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