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I'm Jeff Sonn, an attorney concentrating on securities fraud and consumer class actions. I use this blog to bring attention to regulatory filings involving financial advisors, current events in securities and cases in the financial services industry, and to help investors understand their rights and options for financial recovery. Questions? Contact me online or call anytime at 844-689-5754

Kenia Naves Rocha, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses

INVESTORS: EFG Capital International broker Kenia Naves Rocha is facing a customer dispute alleging excessive investment losses.

Kenia Naves Rocha (CRD: 5629596) is registered as a broker and investment adviser with EFG Capital International, where she’s been employed since 2009. Rocha does not have any other securities experience.

Rocha has one disclosure on her BrokerCheck report.

November 2021 Customer Dispute

Status: Pending

Allegations: 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.

Damage Amount Requested: $4,100,000.00

If you have any information about Kenia Naves Rocha that you would like to share or discuss, please call our firm for a confidential consultation. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form. 

 

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