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Kenia Rocha: Did His Options Recommendations Lead to $4.1 Million Loss?

Mar 17, 2022 Investor Disputes

Kenia Rocha (CRD #: 5629596), a broker registered with EFG Capital International, is involved in an investor dispute, according to his BrokerCheck record, accessed on March 10, 2022. He is also an investment advisor registered with EFG Asset Management (Americas).

Investor Allegations

According to the allegations filed on November 11, 2021, Carlos Estima, while associated with EFG Capital International, failed to provide his client the expected and agreed-upon level of service specifically with regards to complex options trading. 

As a result of  Carlos Estima’s actions, the investor allegedly sustained losses and is seeking  $4,100,000一the case is still pending.

Options are part of a complex trading strategy, one that takes careful management. Statistically, investors are much more likely to lose their entire investment with an options contract

Background Information

Kenia Rocha has passed the following exams:

  • Series 66 - Uniform Combined State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination

He is a registered broker in six states and a registered investment advisor in Florida. 

Kenia Rocha has also worked with EFG Capital Advisors (CRD#:112224).

Kurta Law Can Help

If you worked with Kenia Rocha and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.