Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Illinois-based National Securities Corporation broker Rick Konecny has received several resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Konecny (CRD# 1727785).
Rick Konecny has spent 26 years in the securities industry and was most recently registered with National Securities Corporation in Chicago, Illinois (2016). Previous registrations include JP Morgan Securities in Chicago, Illinois; UBS Financial Services in Chicago, Illinois; Morgan Stanley & Company in Chicago, Illinois; Morgan Stanley DW in Chicago, Illinois; and Prudential Securities in New York, New York. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and was discharged from a former employer.
In April 2017 a customer alleged Rick Konecny, while employed at JP Morgan Securities, made unsuitable investment recommendations, over-concentrated investments, and made unauthorized transactions. The customer is seeking $470,000 in damages in the pending complaint.
In 2016 a customer alleged Rick Konecny, while employed at JP Morgan Securities, executed unauthorized trades, recommended unsuitable investments, and over-concentrated investments in certain sectors. The complaint settled for $180,000.
In March 2016 he was discharged from his position at JP Morgan Securities following allegations he failed to follow policies connected to discretionary trading and “failed to escalate client matters.”
In 2016 a customer alleged Rick Konecny, while employed at JP Morgan Securities, recommended unsuitable products, effected unauthorized trades, and over-concentrated investments in energy and natural-resource sectors. The complaint settled for $375,000.
If you or someone you know has lost money investing with Rick Konecny, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.