Nex Systems
Type not stated

COREY LAMAR BATTEY

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. COREY LAMAR BATTEY (CRD No. 4123425), Respondent. Disciplinary Proceeding No. 2009021048402 Hearing Officer - LBB DEFAULT DECISION Dated: March 8, 2012 Respondent is suspended from associating with any member firm for six months and fined $5,000 for failing to submit timely responses to requests for six documents and

    Reference 2009021048402data-portal.finra.orgfinra.org

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