Tag Archives: Christopher Duke Bennett

Hilliard Lyons Stockbroker Barred In Investigation

August 27, 2020  |   Posted by :   |   Unsuitable Investment Recommendations   |   Comments Off on Hilliard Lyons Stockbroker Barred In Investigation

Christopher Duke Bennett of Louisville Kentucky a stockbroker formerly registered with Jjjbs has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Bennett failed to comply with FINRA’s investigation into customer complaints in which he was accused of making unsuitable investment recommendations. Letter of Acceptance […]

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Investors Sue Hilliard Lyons For Securities Fraud

Christopher Duke Bennett of Louisville Kentucky a stockbroker formerly employed by J.J.B. Hilliard W.L. Lyons LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $65,000.00 in damages supported by allegations that (1) the customer’s account was churned (2) unauthorized trades were executed by the stockbroker (3) investment […]

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JJB Hillard WY Lyons Broker Admits to Unauthorized Trading

Christopher Duke Bennett of Louisville Kentucky a stockbroker formerly employed by J.J.B. Hillard, W.L. Lyons LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Bennett effected unauthorized transactions in accounts of J.J.B. Hillard, W.L. Lyons LLC customers. Letter […]

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Customer Sues JJB Hilliard For Misrepresentation

Christopher Duke Bennett of Louisville Kentucky is a stockbroker currently registered with J.J.B. Hilliard W.L. Lyons LLC who is the subject of a customer initiated investment related arbitration claim in which the customer requested five million dollars in damages based upon allegations of (1) suitability (2) misrepresentation and (3) breach of fiduciary duty pertaining to […]

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