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Rick Konecny Formerly With National Securities Corporation Has 12 Customer Complaints For Alleged Broker Misconduct

Who is Rick Konecny formerly with National Securities Corporation?

Rick Konecny

Rick Konecny (CRD #1727785) who was formerly registered with National Securities Corporation and located in Chicago, Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities Corporation, Rick Konecny was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Rick Konecny has had his own regulatory problems. He was permanently barred by FINRA for failing to comply with an arbitration award settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance with that award.

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Rick Konecny Customer Complaints

Rick Konecny has been the subject of 12 customer complaints that we know about to recover investment losses. Eleven of the customer complaints were settled by financial advisor’s former employers in favor of the investors. The other customer complaint was denied and no further action was taken by the customer.

Allegations Against Rick Konecny

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Overconcentration in high-risk securities.
  • Investment in an unsuitable and over-concentrated manner
  • Overconcentration of client’s investments in energy and natural resources.
  • Investments in over-concentrated, speculative, and unsuitable manner and use of margin without customer’s authorization.
  • Misrepresentation involving energy and natural resources stocks.
  • Certain equity investments were unsuitable, overconcentrated, and misrepresented.

Rick Konecny Red Flags & Your Rights As An Investor

Of course, Rick Konecny did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Rick Konecny at National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Rick Konecny has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities Corporation also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At National Securities Corporation Due To Rick Konecny

If you have questions about National Securities Corporation and/or Rick Konecny and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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