Cory Bataan (CRD #2755223) has been employed with Emoire Asset Management Company since April 2008. Previous employment includes Empire Asset Management Company from April 2008 to August 2012, Ameritas Investment Corp. from December 2007 to April 2008 and Joseph Stevens & Company, Inc. from October 1996 to July 2001.
According to the FINRA BrokerCheck, there have been complaints against Mr Bataan.
In 2015, while employed by Aegis Capital Corp., Claimant alleges unsuitable recommendations and excessive fees & commissions. Complaint was settled for $25,000.00.
In 2014, also while employed by Aegis Capital Corp., allegations included churning, unsuitability, unauthorized trading, breach of fiduciary duty for the period of November 2012 through November 2014. Complaint settled for $45,000.00
In 2002, while employed by Joseph Stevens & Company, Inc., Statement of claim alleges unauthorized trading, margin violation, misrepresentation and suitability. Complaint settled for $23,000.00.
In 2001, also while employed by Joseph Stevens & Company, Inc., Customer alleged that Mr. Bataan made unauthorized transactions in his account. Complaint settled for $13,944.45.
Contact Our Firm if You’ve Invested with Cory Bataan
If you invested with Cory Bataan and believe you have lost money due to his misconduct, you may be able to file a claim to recover your losses through FINRA arbitration. For a free evaluation of your potential case by as securities attorney, please contact Silver Law Group, a Florida securities arbitration law firm.
Silver Law Group is a nationally-recognized securities law firm headquartered in South Florida representing investors worldwide with their claims for losses due to securities and investment fraud. The firm has successfully recovered multi-million dollar awards for its clients through securities arbitration and the courts. To contact Scott L. Silver to discuss your legal matter, call toll-free (800) 975-4345 or e-mail him at SSilver@silverlaw.com.