Kenia Rocha Investigation
May 2022-Miami, FL
The FINRA records of Kenia Rocha, a broker with EFG Capital International, discloses a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 11/2021, FINRA case#21-02800 was filed by a customer of EFG Capital International Corp. alleging that in 2019 and 2020, EFG Capital International Corp. failed to provide the expected and agreed upon level of services specifically with regards to complex option trading and as a result, the claimant sustained losses. The alleged damages are $4,100,000 and this case is currently pending.
Rocha has been with EFG Capital International Corp. since September of 2010. Before that time, he was registered with NYLife Securities.
If you have losses in an account handled by LeFranc J. Joseph, call for a no charge consultation to discuss your options for recovery of damages.
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