RICHARD IRL KONST is currently employed as a Broker and/or Investment Adviser at ACCESS FINANCIAL GROUP, INC. located at 118 N. CLINTON, SUITE 450, CHICAGO, IL, 60661.
RICHARD IRL KONST has worked at ACCESS FINANCIAL GROUP, INC. since February 02, 1995
Disclosure History
RICHARD IRL KONST has 2 Disclosure Event(s).
Date: October 09, 2007 Category: Regulatory
Date: January 01, 1976 Category: Customer Dispute Allegations: ALLEGED BROKER DEAT WITH RESIDENT OF OHIOWHILE NOT REGISTERED IN OHIO ALLEGED VIOLATONS OF NYSE "KNOWYOUR CUSTOMER RULE. RULES OFFAIR PRACTICE OFNASD RULES 10B-5SEC, Damage Amount Requested: $42,500.00 Settlement Amount: $14,000.00 Broker Comment: THE LITIGATION WAS SETTLED FOR $14,000.00.KONST/DREXEL BURNHAM LAMBERT NAMED AS DEFENDENTBY FORMER ACCT. ALLEGED VIOLATION SECTION 1707.14 OF OHIOREVISED CODE/KONST DEALT WITH PLAINTIFF WHILE NOT LICENSED ASDEALER IN OHIO CUSTOMERS SOUGHT SELECTIVE RECISSION OF LOSINGTRANSACTIONS. COMPLAINT ALSO CONTRAINED CAUSES OF ACTION FORKNOW YOUR CUSTOMER RULE OF NEW YORK STOCK EXCHANGE. NASD ANDRULE OF 10B-5 PLY SEC.KNOST AND DBL FILED AN ANSWER TO THECOMPLAINT WHICH DENIED ALL OF THE MATERIAL ALLEGATIONS OFCOMPLAINT. COMPLAINT SOUGH DAMAGES OF A LEAST 42,500. THELITIGATION WAS SETTLED FOR 14,000. COUNSEL HAS ADVISED THESETTLEMENT OF ACTION WAS BASED SOLEY UPON ALLEGED VIOLATION OFOHIO BLUE SKY LAW. THIS TOOK PLACE IN 1976.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for RICHARD IRL KONST, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.