The Financial Industry Regulatory Authority (FINRA) barred CHRISTOPHER DUKE BENNETT (CRD#: 2510231) a former Hilliard Lyons of Louisville, Kentucky, registered representative, from acting as a broker or otherwise associating with a broker/dealer firm. Bennett was previously registered both as a broker and as an investment advisor. According to FINRA, Bennett did not cooperate with FINRA’s […]

ATTENTION INVESTORS: FINRA Fines, Suspends Hillard Lyons Broker CHRISTOPHER BENNETT The Financial Industry Regulatory Authority (“FINRA”) suspended J.J.B. Hilliard, W.L. Lyons LLC broker Christopher Duke Bennett (CRD#: 2510231, Louisville, Kentucky) for exercising discretion in investment accounts without written authorization. Evidently, Bennett executed a Letter of Acceptance, Waiver and Consent (“AWC”) #2017054060301 on December 17, 2018, […]

AFinancial Industry Regulatory Authority (FINRA) arbitration panel awarded the client of CHRISTOPHER DUKE BENNETT (CRD#: 2510231), a broker with J.J.B. Hilliard, W.L. Lyons of Louisville, Kentucky, $445,000 in compensatory damages. The FINRA award was an additional $195,000 than what the client had sought in compensatory damages, but less than the final damage request for a […]