CHRISTOPHER DUKE BENNETT is currently employed as a Broker and/or Investment Adviser at J.J.B. HILLIARD, W.L. LYONS, LLC located at 10200 FOREST GREEN BLVD., SUITE 500, LOUISVILLE, KY, 40223.
CHRISTOPHER DUKE BENNETT has worked at J.J.B. HILLIARD, W.L. LYONS, LLC since December 13, 1995
Disclosure History
CHRISTOPHER DUKE BENNETT has 7 Disclosure Event(s).
Date: April 03, 2018 Category: Customer Dispute Allegations: Client, through her attorneys-in-fact, allege representative recommended the purchases of unsuitable securities in her accounts. Damage Amount Requested: $1,581,025.00
Date: January 26, 2018 Category: Customer Dispute Allegations: Claimant alleges breach of fiduciary duty as well as the misrepresentation and suitability of certain securities. Damage Amount Requested: $5,000,000.00
Date: August 07, 2017 Category: Customer Dispute Allegations: Claimant alleges that registered representative failed to properly diversify and invested in products that exposed the client's portfolio to significant risk. Damage Amount Requested: $311,455.00 Broker Comment: The registered representative and Hilliard Lyons vehemently deny the Claimant's allegations and believe they are without merit.
Date: July 07, 2017 Category: Customer Dispute Allegations: Claimants allege unauthorized trading and violation of suitability rules with regard to certain securities from 2014 through 2016. Damage Amount Requested: $330,713.07
Date: July 07, 2017 Category: Customer Dispute Allegations: A representative for the client alleges breach of fiduciary duty, unauthorized trading, violation of suitability rules and inadequate risk assessment.
Date: December 10, 2016 Category: Customer Dispute Allegations: Client's daughter/POA alleges the representative engaged in unauthorized trades that were unsuitable. UPDATE--Alleged complaint evolved into arbitration which was received on 4/4/2017. Damage Amount Requested: $250,000.00 Damages Granted: $445,000.00 17-00750
Date: October 25, 2016 Category: Customer Dispute Allegations: Client alleges poor performance in their accounts.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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