JOHNNY MICHAEL LAVIGNE is currently employed as a Broker and/or Investment Adviser at CADARET, GRANT & CO., INC. located at 7 DONSWOOD COURT, CLIFTON PARK, NY, 12065.
JOHNNY MICHAEL LAVIGNE has worked at CADARET, GRANT & CO., INC. since August 27, 2008
Disclosure History
JOHNNY MICHAEL LAVIGNE has 3 Disclosure Event(s).
Date: August 21, 2008 Category: Employment Separation After Allegations Firm Name: LPL FINANCIAL CORPORATION Termination Type: Discharged Allegations: FAILURE TO FOLLOW FIRM POLICIES AND PROCEDURES. Broker Comment: UNAWARE OF THE INTERNAL PROCEDURE FOR WHICH I VIOLATED.
Date: July 15, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGED THEY WERE UNAWARE OF CDSC CHARGE. Settlement Amount: $8,296.00
Date: April 12, 2004 Category: Customer Dispute Allegations: UNAUTHORIZED, UNSUITABLE AND EXCESSIVE TRADING, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, NEGLIGENCE. 2/1/01-11/30/02 Damage Amount Requested: $75,000.00 Settlement Amount: $30,000.00
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