Close Menu
Free Consultation: 888-976-6111

EFG Capital’s Kenia Rocha Receives Options Complaint

Kenia Rocha (CRD# 5629596), a financial advisor based in Miami, is involved in an investor complaint alleging seven-figure losses. Financial Industry Regulatory Authority records show that she is a broker and investment adviser with EFG Capital International and EFG Asset Management, respectively. 

Ms. Rocha’s BrokerCheck report discloses one recent investor complaint. Filed in November 2021, it alleges that EFG Capital International did not provide an “expected and agreed upon level of service” for a “complex option trading” strategy, ultimately leading to losses. The pending complaint alleges damages of $4.1 million.

EFG Capital International has been the subject of five regulatory enforcement actions, according to the firm’s BrokerCheck report. Four of the five actions are FINRA sanctions finding that the firm failed to properly report transactions to the Trade Reporting and Compliance Engine, resulting in censures and monetary penalties against it. A fifth sanction, issued by FINRA in 2018, found that the firm failed to establish and maintain an adequate anti-money laundering program, allegedly failing to look into red flags of potentially suspicious activity. This sanction resulted in an $800,000 monetary penalty against EFG.

According to the Financial Industry Regulatory Authority, Kenia Rocha holds 13 years of securities industry experience. Based in Miami, Florida, she has been a broker with EFG Capital International since 2009 and an investment advisor with EFG Asset Management since 2019. Her credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Uniform Combined State Law Examination, or Series 66; and the Securities Industry Essentials Examination, or SIE. She is licensed in California, Florida, Georgia, Illinois, New Jersey, and Oklahoma. (Information current as of July 6, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Greenberg Financial’s David Sherwood Faces GWG L Bond Complaint

    Tucson financial advisor David Sherwood (CRD# 1024893) is involved in an investor complaint stemming from the allegedly negligent sale of...

    Read More
  • Tom Endersbe: SagePoint Denies $70K REIT/BDC Complaint

    St. Louis Park, Minnesota financial advisor Tom Endersbe (CRD# 1407028) allegedly recommended an unsuitable real estate investment trust, according to...

    Read More
  • SEC Fraud Complaint Against Ryan Reaume, Calibre Consulting Advisor

    Leesburg, Virginia financial advisor Ryan Reaume (CRD# 2684692) was recently named in a civil action by the Securities and Exchange...

    Read More
  • Jason Doviak: $1 Million Complaint Against Park Avenue Advisor

    Red Bank financial advisor Jason Doviak (CRD# 4266648) is involved in an investor complaint alleging his conduct resulted in seven-figure...

    Read More
  • Previous
  • Next