MICHAEL GRIFFIN CONATY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 6025 BROOKVALE LANE, SUITE 160, KNOXVILLE, TN, 37919.

MICHAEL GRIFFIN CONATY has worked at LPL FINANCIAL LLC since October 31, 2016

Disclosure History

MICHAEL GRIFFIN CONATY has 3 Disclosure Event(s).

Date: December 06, 2013
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: October 04, 2010
Category: Customer Dispute
Allegations: Allegation that a sale of Lehman Brothers Bonds from February 2008 to September 2008 to an investor as inappropriate.
Damage Amount Requested: $1,255,000.00
Settlement Amount: $620,000.00
Broker Comment: Settled to avoid burden and expense of further litigation, without any admission of wrongdoing or liability.

Date: November 05, 2009
Category: Customer Dispute
Damage Amount Requested: $2,255,000.00
Settlement Amount: $620,000.00

More Information

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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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