EFG Capital International Broker Kenia Rocha Options Losses

EFG Capital International

Erez Law is interested in speaking with investors who may have suffered options losses due to investments with EFG Capital International broker Kenia Rocha (CRD# 5629596). He has been registered with EFG Capital International in Miami, Florida since 2009. 

Kenia Rocha 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 was regarding options 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 Kenia Rocha’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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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.