Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antonio Da Roza (Da Roza), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Da Roza recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 10, 2025.
The Claimants alleges negligence, breach of fiduciary duty and failure to supervise from November 2020 to December 2022.