There are options for clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Antonio Da Roza (CRD# 2087563), who is accused of insurance losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in San Francisco, California, since 2011.
Antonio Da Roza Customer Complaints
He has been the subject of three customer complaints between 2000 and 2025, according to his CRD report. The most recent complaint was regarding:
July 2025. “The Claimants allege negligence, breach of fiduciary duty and failure to supervise from November 2020 to December 2022.” The case is currently pending. The complaint was regarding insurance losses, and it took place while he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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, Merrill Lynch, Pierce, Fenner & Smith Incorporated may be liable for investment or other losses suffered by Antonio Da Roza’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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