ROBERT GAROLD MCCONNELL is currently employed as a Broker and/or Investment Adviser at EK RILEY INVESTMENTS, LLC located at 913 Wisconsin Avenue, Suite 105, Whitefish, MT, 59937.
ROBERT GAROLD MCCONNELL has worked at EK RILEY INVESTMENTS, LLC since June 24, 2005
Disclosure History
ROBERT GAROLD MCCONNELL has 1 Disclosure Event(s).
Date: December 31, 1986 Category: Customer Dispute Allegations: BOTH WOMEN ALLEGED THAT I SOLDTHEM INTERESTS IN NRM 1983 OIL & GAS INCOME FUND AND ANGELESINCOME PROPERTIES II, LTD., BOTH LIMITED PARTNERSHIPS, WITHOUTDETERMINING THEIR SUITABILITY FOR THE INVESTMENTS. Damage Amount Requested: $45,000.00 Settlement Amount: $57,000.00 Broker Comment: COMPLAINT AGAINST ME WITH THE NASD, DISTRICT NO. 1, SEATTLE,WASHINGTON, ON DECEMBER 18, 1986. EDWARD D.JONES & CO. AND I RESPONDED TO THE COMPLAINT IN A LETTER DATEDJANUARY 20, 1987, ADDRESSED TO [NASD REPRESENTATIVE], SENIORCOMPLIANCE EXAMINER FOR THE NASD DISTRICT 1, SEATTLE,WASHINGTON. ON SEPTEMBER 9, 1987, THE NASD ISSUED A LETTER OFCAUTION TO ME. I RESPONDED, AS REQUESTED, TO THAT LETTER OFCAUTION ON OCTOBER 5, 1987. THE SAME WOMEN HAVE FILED SUIT LISTING EDWARD D. JONES & CO. AND MYSELF AS CO-DEFENDANTS REGARDING THE ABOVE-MENTIONED MATTER. ON 2/4/88, A STIPULATION OF DISMISSAL WITH PREJUDICE WAS ENTERED IN THE U.S. DISTRICT COURT FOR THE DISTRICT OF MONTANA, GREAT FALLS DIVISION, IN THE MATTER OF THE COMPLAINT ENTITLED "[CUSTOMER] AND [CUSTOMER] VS. ROBERT G. MCCONNELL AND EDWARD D. JONES & CO." (CASE #CV-87-094-GF). THE DISMISSAL WAS BASED ON AN AGREEMENT WHEREIN THE PLAINTIFFS AGREED TO TRANSFER ALL OF THEIR REMAINING INTERESTS IN CERTAIN INVESTMENTS IN EXCHANGE FOR THE SUM OF $57,500.00.
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