Erez Law is currently investigating EFG Capital International broker Carlos Estima (CRD# 5626848) regarding options investment due to investment fraud. He has been registered with Insigneo Securities, LLC in Miami, Florida since 2020. Previously, he was registered with EFG Capital International in Miami, Florida from 2009 to 2020.
Carlos Estima Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
November 2021. “Claimants allege that during the course of 2019 and 2020, EFG Capital International Corp failed to provide the expected and agreed upon level of service specifically with regards to complex option trading and as a result, the Claimant sustained losses.” The customer is seeking $4,100,000 in damages and the case is currently pending. The complaint took place while he was registered with EFG Capital International and was regarding options investment losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, EFG Capital International may be liable for investment or other losses suffered by Carlos Estima’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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