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Cory Bataan Formerly With Aegis Capital Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Cory Bataan formerly with Aegis Capital?

Cory Bataan (CRD #2755223) who was formerly registered with Aegis Capital and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations.

Cory Bataan has also been the subject of a FINRA investigation resulted in a 15 day suspension and a $5000 fine for allegedly exercising discretion customer accounts without written authorization from customers were obtaining his member firm’s written approval the accounts for discretionary trading.

Cory Bataan Customer Complaints

Cory Bataan has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Cory Bataan’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Cory Bataan’s alleged misconduct.

Allegations Against Cory Bataan

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Allegations include churning, unsuitability, unauthorized trading, breach of fiduciary duty committed by Cory Bataan.
  • Cory Bataan’s alleged unauthorized transaction.
  • Claimant alleged unsuitable recommendations and excessive fees & commissions made by Cory Bataan.
  • Statement of claim alleges unauthorized trading, margin violation, misrepresentation and suitability committed by Cory Bataan.
  • Claimant alleges excessive and unsuitable trading, false and misleading statements by Cory Bataan.

Cory Bataan Red Flags & Your Rights As An Investor

Of course, Cory Bataan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Cory Bataan at Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Cory Bataan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Aegis Capital Due To Cory Bataan

If you have questions about Aegis Capital and/or Cory Bataan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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