Customer alleges that the registered representative invested the account in an unsuitable and over concentrated manner. Activity dates 8/2013 - 8/2015.

$550,000.00

$200,000.00

Customer alleges that registered representative invested the accounts in an unsuitable and over concentrated manner. Activity dates 07/2013-10/2015.

$88,430.00

$15,000.00

Customers allege that the registered representative invested the accounts in an unsuitable and over concentrated manner. Activity dates 07/2013-10/2015.

$1,210,380.00

$137,500.00

FINRA

Respondent Konecny 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.

letter

Suspension

All capacities

Indefinite

Continues until required payment is made or discharged.

3/16/2018

Pursuant to Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554, Respondent Konecny is suspended on March 16, 2018, for failure 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.

Customer alleges that the registered representative invested the account in an unsuitable and over concentrated manner. Activity dates 07/2013-10/2015.

$81,856.00

$21,250.00

Time frame: 2013 Claimant alleges that her investments in certain equities were unsuitable, overconcentrated and misrepresented.

$33,500.00

$3,250.00

Customer alleges that the registered representative invested the account in an unsuitable and over concentrated manner. Activity dates 07/2013-10/2015.

$70,660.00

$30,000.00

FINRA

Respondent Konecny 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.

Letter

Suspension

All Capacities

Indefinite

Continues until required payment is made or discharged.

11/21/2017

Pursuant to Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554, Respondent Konecny is suspended on November 21, 2017 for failure 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.

Customer alleges that RR invested the account in an unsuitable and over-concentrated manner and employed margin without the customer's authorization. Activity dates 07/2013-10/2015.

$5,000.00

$750,000.00

Time frame: 2008-2013 Claimants allege unsuitability, overconcentration and misrepresentation involving the recommendation to invest in energy and natural resource stocks.

$990,212.00

$33,253.00

FINRA

Respondent Konecny failed to respond to FINRA request for information.

Letter

Bar (Permanent)

All Capacities

Indefinite

11/21/2017

Pursuant to FINRA Rule 9552(h) and in accordance with FINRA's Notice of Suspension and Suspension from Association letters dated August 18, 2017 and September 11, 2017, respectively, on November 21, 2017, Konecny is barred from association with any FINRA member in any capacity. Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity.

Customer alleges that registered representative effected transactions without customer's advance knowledge or authorization and customer's investments were unsuitable and an unduly concentrated in certain sectors. Activity dates 12/2014-02/2016.

$470,000.00

$315,000.00

Customer alleges that registered representative effected transactions without customer's advance knowledge or authorization and customer's investments were unsuitable and unduly concentrated in certain sectors.

$400,000.00

$180,000.00

Client claims the registered representative, through unsuitable and unauthorized trades, over concentrated her investments in several energy and natural resource stocks between 2013 and 2015.

$1,000,000.00

$375,000.00

J.P. MORGAN SECURITIES LLC

Discharged

RR failed to escalate client matters and failed to follow requirements with respect to execution of trades on a discretionary basis.

CLAIMANT ALLEGES, INTER ALIA, OVERCONCENTRATION IN HIGH-RISK SECURITIES PURCHASED DURING THE PERIOD MARCH 2001 THROUGH DECEMBER 2001.

$57,075.55

MR. KONECNY STRONGLY DENIES ANY WRONGDOING.