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Investigation Update: CHRISTOPHER DUKE BENNETT – Louisville, KY

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05
Aug

Investigation Update: CHRISTOPHER DUKE BENNETT – Louisville, KY

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Investigation Update: CHRISTOPHER DUKE BENNETT – Louisville, KY

Christopher Bennett, formerly with Hilliard Lyons, Barred by FINRA

Have you lost money with financial advisor Christopher Duke Bennett?  We are looking into allegations made about Christopher Bennett from Louisville, Kentucky.  FINRA (the Financial Industry Regulatory Authority) barred Bennett from the securities industry.  FINRA alleged that Bennett has failed to respond to its investigation regarding allegations of unauthorized trading and unsuitable investment recommendations.  Bennett sold a number of investments in Breitburn Energy.

Christopher Duke Bennett was a financial advisor and registered representative of Hilliard Lyons from 1995 to October 2018.  He worked in a branch office in Louisville, Kentucky.  Bennett has been the subject of 15 customer complaints, many of them involving Breitburn Energy.

Brokerage firms like Hilliard Lyons have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers. 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Ann Arbor, Michigan; and Phoenix, Arizona.  We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Kentucky and former clients of Christopher Bennett. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Hilliard Lyons.

IF YOU LOST MONEY WITH CHRISTOPHER BENNETT OR HILLIARD LYONS, PLEASE CONTACT US AT 720-599-3505 FOR A FREE EVALUATION OF YOUR CASE.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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