Christopher Duke Bennett

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/31/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061319201 TO: Department of Enforcement Financial industry Regulatory Authority (FINRA) RE: Christopher Duke Bennett, Respondent General Securities Representative CRD No. 2510231 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Christopher Duke Bennett ("Bennett" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019061319201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/01/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054060301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher Duke Bennett, Respondent General Securities Representative CRD No. 2510231 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Christopher Duke Bennett ("Bennett" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2017054060301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2510231

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