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Kenia Rocha – EFG Capital Broker-Subject of $4.1M Customer Option Trading Suit – Miami, FL

Kenia Rocha – EFG Capital Broker-Subject of $4.1M Customer Option Trading Suit – Miami, FL

Kenia Rocha – EFG Capital Broker-Subject of $4.1M Customer Option Trading Suit – Miami, FL 150 150 ER

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.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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