Rick Konecny from Chicago, Illinois Suspended From Securities Industry
Have you lost money with financial advisor Rick Konecny of Chicago, Illinois? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Rick D. Konecny. FINRA suspended Rick Konecny from the securities industry after he failed to respond to an investigation. FINRA was investigating Konecny regarding numerous arbitration cases filed against him, alleging unsuitable investment recommendations related to oil, gas, energy, and precious metals stocks.
Rick Konecny was a financial advisor and registered representative of JP Morgan from July 2013 to April 2016. He also worked with UBS Financial Services from November 2008 to July 2013; and with National Securities Corp. from April 2016 to November 2016. He worked at branch offices in Chicago, Illinois. Konecny has been the subject of 6 customer complaints, many alleging losses in oil, gas, and gold stocks like Sandridge Energy Inc. (SD); Yamana Gold Inc. (AUY); Cliffs Natural Resources Inc (CLV); Arch Coal Inc. (ACI); Exco Resources (XCO); Imagold Corp (IAG); and Moly Corp (MCPIQ).
Brokerage firms like JP Morgan and NY Life Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Illinois and Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including JP Morgan.
Click to view: Konecny, Rick BrokerCheck 11.15.17
If you lost money with Rick Konecny or JP Morgan, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.