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Rick Konecny, Sanctioned by FINRA Three Times, Has Now Been Barred

Rick KonecnyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that former Illinois-based National Securities Corporation broker Rick Konecny, who has received several resolved or pending customer disputes, has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a 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). JP Morgan Securities in Chicago, Illinois (2013-2016); UBS Financial Services in Chicago, Illinois (2008-2013); Morgan Stanley & Company in Chicago, Illinois (2007-2008); Morgan Stanley DW in Chicago, Illinois (1995-2007); Prudential Securities in New York, New York (1993-1995); Mathews Holmquist & Associates in Hiawatha, Iowa (1991-1993); Heartland Investment Associates in Hiawatha, Illinois (1991-1992); Dickinson & Company in Des Moines, Iowa (1992); Berthel Fisher & Fleischman Financial Services in Clear Rapids, Iowa (1989); Pruco Securities Corporation (1988); the Prudential Insurance Company of America (1988); and Blinder Robinson & Company (1987-1988). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received three regulatory sanctions, three customer complaints, and three pending customer complaints.

In April 2018 a customer alleged Rick Konecny, while employed at JP Morgan Securities, made unsuitable investments and over-concentrated the account in high-risk mining equities. The customer is seeking $1,210,380 in damages in the pending complaint.

In April 2018 a customer alleged Rick Konecny, while employed at JP Morgan Securities, invested the accounts in a manner that was unsuitable and over-concentrated. The customer is seeking $88,430 in damages in the pending complaint.

In 2018 a customer alleged Rick Konecny, while employed at JP Morgan Securities, recommended unsuitable investments and over-concentrated the account. The customer is seeing $81,856 in damages in the pending complaint.

In March 2018 FINRA sanctioned him in connection to allegations he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. He was consequently suspended from acting as a broker.

In November 2017 FINRA sanctioned him in connection to allegations he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information regarding such. He was consequently suspended from acting as a broker

In 2017 FINRA sanctioned him in connection to allegations he failed to respond to a request for information. He was barred from acting as a broker or otherwise associating with a broker-dealer firm.

If you or someone you know has complaints regarding investments made 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.

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