Rick Douglas Konecny of Chicago Illinois a stockbroker formerly registered with JP Morgan Securities LLC is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $200,000.00 in damages based upon allegations that unsuitable transactions were affected in customer accounts by Konecny when he was associated with JP Morgan Securities….
Rick Douglas Konecny of Chicago Illinois a stockbroker formerly associated with JP Morgan Securities LLC has been referenced in a customer initiated investment related arbitration claim which was resolved for $30,000.00 in damages supported by allegations of an overconcentration of the customer’s assets in high-risk investments which led the customer to experience losses. Financial Industry…
Rick Douglas Konecny, of Chicago, Illinois, a stockbroker formerly registered with National Securities Corporation, has been suspended indefinitely from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations of his failure to provide FINRA with information about his business activities. FINRA Notice of Suspension, No. 2016049543601 (Aug. 18, 2017)….
Rick Douglas Konecny, of Chicago, Illinois, a stockbroker currently registered with J.P. Morgan Securities LLC, has been named in a customer initiated investment related written complaint on June 23, 2016, in which the customer requested $400,000.00 in damages based upon allegations that Konecny effected unauthorized and unsuitable transactions in the customer’s account, and overconcentrated the…