JAMES FRANK KENZIK is currently employed as a Broker and/or Investment Adviser at CITY NATIONAL SECURITIES, INC. located at 400 N. ROXBURY DR., SUITE 700, BEVERLY HILLS, CA, 90210.
JAMES FRANK KENZIK has worked at CITY NATIONAL SECURITIES, INC. since June 13, 2000
JAMES FRANK KENZIK has 1 Disclosure Event(s).
Date: July 07, 2014 Category: Customer Dispute Allegations: CLIENT CLAIMED THAT HIS REPRESENTATIVE AND THE REPRESENTATIVE'S SALES ASSISTANT NEGLECTED TO ACT UPON SELL INSTRUCTIONS FOR THE CLIENT'S INSURED PUERTO RICO BONDS FROM JUNE 30, 2014 UNTIL THE POSITION WAS SOLD ON JULY 7, 2014. THERE WERE SEVERAL PHONES CALLS WITH THE CLIENT OVER A 12 DAY PERIOD BETWEEN CLIENT, HIS REPRESENTATIVE AND THE SALES ASSISTANT. CLIENT ALLEGES THAT HE PROVIDED SALE INSTRUCTIONS FOR BONDS 8 DAYS PRIOR TO FIRM EXECUTING THE BOND SALES. Damage Amount Requested: $50,000.00 Broker Comment: WE FIND THE CLAIM HAS NO MERIT AND THAT THE CLIENT INSTRUCTIONS WERE NOT IGNORED AT ANY POINT. IN SUMMARY, THE FIRM FINDS NO EVIDENCE THAT THE CLIENT'S INSTRUCTIONS WERE PROVIDED WHEN THE CLIENT ALLEGES. THERE WERE THOUGHTFUL CONVERSATIONS BETWEEN THE CLIENT AND THE REPRESENTATIVES REGARDING THE BONDS HE OWNED, AND THE CLIENT'S ACKNOWLEDGEMENT WITH RESPECT TO THEIR RECOMMENDATIONS. THE CONVERSATIONS CORRECTLY DESCRIBED THE CURRENT TRADING CONDITIONS OF THESE BONDS. ADDITIONALLY, THE RECOMMENDATIONS WERE APPROPRIATE GIVEN THE STRUCTURE AND INSURANCE COVERAGE FOR THE BONDS AND THE CLIENT'S INVESTMENT OBJECTIVES. THERE HAS BEEN NO FURTHER CONTACT FROM THE CLIENT OR HIS ATTORNEY AND WE CONSIDER THIS MATTER CLOSED.
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