Tag Archives: J.J.B. Hillard W.L. Lyons LLC

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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JJP Hillard Sued For Fraud

October 05, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

J.J.B. Hillard, W.L. Lyons, LLC, an investment adviser firm and FINRA member brokerage firm, is subject of a customer initiated investment related arbitration claim, in which customers were awarded $450,000.00 in compensatory damages and $100,000.00 in punitive damages pertaining to allegations of negligent supervision, fraud, breach of contract, omissions and misrepresentations, breach of fiduciary duty, […]

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