Public records published by the Financial Industry Regulatory Authority (FINRA) on January 18, 2017 indicate that former Illinois-based National Securities Corporation broker Rick Konecny has received pending customer complaints. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Konecny (CRD# 1727785).
Rick Konecny has spent twenty-six 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; Prudential Securities in New York, New York; Matthews Holmquist & Associates; Heartland Investment Associates in Hiawatha, Iowa; Dickinson & Company, which has since been expelled by FINRA, in Des Moines, Iowa; Berthel Fisher & Fleischman Financial Services in Cedar Rapids, Iowa; Pruco Securities Corporation; the Prudential Insurance Company of America; and Blinder Robinson & Company. He is a registered broker with Delaware and New York.
According to his BrokerCheck report, he has received two pending customer complaints and was terminated from JP Morgan Securities.
In June 2016 a customer alleged Rick Konecny, while employed at JP Morgan Securities, “effected transactions without customer’s advance knowledge or authorization and customer’s investments were unsuitable and unduly concentrated in certain sectors.” The customer is seeking $400,000 in damages in the pending complaint.
In March 2016 Rick Konecny was discharged from his position at JP Morgan Securities in connection to allegations he “failed to escalate client matters and failed to follow requirements with respect to execution of trades on a discretionary basis.”
In February 2016 a customer alleged Rick Konecny, while employed at JP Morgan Securities, over-concentrated her portfolio in energy and natural-resource investments, made unsuitable investment recommendations, and executed unauthorized transactions. The customer is seeking $1,000,000 in damages in the pending complaint.
If you or someone you know has a complaint regarding Rick Konecny, call the attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. You may have a limited window by law to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.