DID KENIA NAVES ROCHA CAUSE YOU INVESTMENT LOSSES?
Kenia Rocha Of EFG Capital International Has 1 Customer Complaint For Alleged Broker Misconduct
About Kenia Rocha of EFG Capital International?
Kenia Rocha (CRD #5629596) , has a questionable track record in the financial industry, casting shadows over her career due to various incidents. Currently associated with EFG Capital International and EFG Asset Management (Americas) Corp in Miami, FL, her registration history is marked by frequent changes. Rocha is registered with one self-regulatory organization and licensed in three U.S. states, namely Florida, California, and New Jersey. Her examination achievements are limited, with only two general industry/product exams and one state securities law exam passed. Rocha has been registered since April 24, 2009, with a history of associations with several firms within short periods.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Kenia Rocha Customer Complaints and Reviews
Kenia Rocha has been the subject of 1 customer complaint that we know about seeking to recover investment losses.
- Dispute Details: The claimants allege that between 2019 and 2020, EFG Capital International Corp., where Rocha was associated, failed to provide the promised level of service for complex option trading, leading to significant financial losses.
- Outcome: The dispute was settled with a payment of $600,000, although Rocha personally contributed nothing to the settlement. This incident, documented under case #21-02800, was resolved on January 13, 2023, after being filed on November 11, 2021.
Allegations Against Kenia Rocha
The single formal customer dispute involving Kenia Naves Rocha revolves around allegations of inadequate service linked to complex option trading. The claimants argued that her failure in service delivery resulted in substantial financial damages, initially claimed at $4,100,000. This serious accusation may point to a significant lapse in professional responsibility and expertise, reflecting poorly on Rocha’s reliability and trustworthiness as a financial advisor. The settlement of the case, albeit without her direct financial contribution, further tarnishes her professional image, suggesting potential issues in her handling of complex financial instruments and client relationships.
Kenia Rocha Red Flags & Your Rights As An Investor
Of course, Kenia Rocha did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kenia Rocha at EFG Capital International on alert to review carefully the activity and performance of their accounts and question whether Kenia Rocha has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at EFG Capital International also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At EFG Capital International Due To Kenia Rocha
If you have questions about EFG Capital International and/or Kenia Rocha and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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