Nex Systems
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Cory D. Bataan

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

    01/31/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052696501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Cory D. Bataan, Respondent General Securities Representative General Securities Principal CRD No. 2755223 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Cory D. Bataan (“Respondent” or “Bataan”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing

    Reference 2017052696501data-portal.finra.orgfinra.org

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