CORY D BATAAN is currently employed as a Broker and/or Investment Adviser at AEGIS CAPITAL CORP. located at 510 BROADHOLLOW ROAD, SUITE 104, MELVILLE, NY, 11747.
CORY D BATAAN has worked at AEGIS CAPITAL CORP. since August 16, 2012
CORY D BATAAN has 6 Disclosure Event(s).
Date: January 31, 2018 Category: Regulatory
Date: June 09, 2015 Category: Customer Dispute Allegations: CLAIMANT ALLEGES UNSUITABLE RECOMMMENDATIONS AND EXCESSIVE FEES & COMMISSIONS Damage Amount Requested: $65,000.00 Settlement Amount: $25,000.00 Broker Comment: MR. BATAAN DENIES ANY WRONGDOING WHATSOEVER IN CONNECTION WITH THE CLIENTS ACCOUNT. THE FIRM MADE A BUSINESS DECISION TO RESOLVE THE CLIENT'S CLAIMS FOR AN AMOUNT THAT WAS LESS THAN THE COST OF DEFENDING THE ARBITRATION THROUGH HEARING AND EXPRESSLY DENIED ANY LIABILITY TO THE CLIENT.
Date: November 19, 2014 Category: Customer Dispute Allegations: ALLEGATIONS INCLUDE CHURNING, UNSUITABILITY, UNAUTHORIZED TRADING, BREACH OF FIDUCIARY DUTY FOR THE PERIOD OF NOVEMBER 2012 THROUGH NOVEMBER 2014. Damage Amount Requested: $90,000.00 Settlement Amount: $45,000.00 Broker Comment: MR. BATAAN VIGOROUSLY DENIES THE ALLEGATIONS CONTAINED IN THE COMPLAINT, AS WELL AS ANY WRONGDOING OR MISHANDLING OF THE ACCOUNT. AT ALL TIMES, THE ACTIVITY IN THE CUSTOMER'S ACCOUNT CONFORMED WITH HIS REPRESENTED INVESTMENT OBJECTIVES AND RISK TOLERANCE. IT WAS AGAINST THESE SIGNED AND ACKNOWLEDGED INVESTMENT OBJECTIVES AND RISK TOLERANCE THAT, MR. BATAAN MADE SUITABLE INVESTMENT RECOMMENDATIONS.
Date: August 16, 2012 Category: Employment Separation After Allegations Firm Name: EMPIRE ASSET MANAGEMENT Termination Type: Discharged Allegations: VIOLATIONS OF FIRMS POLICES AND PROCEDURES, APPARENT VIOLATION OF 2111
Date: February 01, 2002 Category: Customer Dispute Allegations: STATEMENT OF CLAIM ALLEGES UNAUTHORIZED TRADING, MARGIN VIOLATION, MISREPRESENTATION AND SUITABILITY Damage Amount Requested: $135,000.00 Settlement Amount: $23,000.00 Broker Comment: FIRM SETTLED TO AVOID THE EXPENCE OF DEFENDING AT HEARING.NO WRONG DOING FOUND ON PART OF MR.BATAAN AND WAS NOT HELD RESPONSIBLE FOR COMPENSATORY DAMAGES AWARDED.
Date: April 17, 2001 Category: Customer Dispute Allegations: ALLEGED UNAUTHORIZED TRANSACTION Damage Amount Requested: $13,944.45 Settlement Amount: $13,944.45 Broker Comment: NO WRONGDOING FOUND ON THE PART OF MR.BATAAN. THIS WAS AN ACCOUNT THE HE INHERITED. MR.BATAAN NOT HELD RESPONSIBLE FOR ANY COMPENSATORY DAMAGES.
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