Tag Archives: Cory D. Bataan

FINRA Fines Aegis Stockbroker For Unauthorized Trading

Cory D. Bataan of Melville New York is a stockbroker currently registered with Aegis Capital Corp. who has been fined five thousand dollars and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he executed trades in customer investment accounts without authorization. Letter of Acceptance […]

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