Investors have reportedly disputed the sales practices of securities broker Antonio Pedro Da Roza (also known as Antonio Daroza and Tony Daroza) [CRD: 2087563, Capitola, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Da Roza has worked for Merrill Lynch since September 16, 2011. Keep reading to find out more about disclosures involving this broker.
Evidently, on July 10, 2025, a Merrill Lynch client filed FINRA Arbitration No. 25-01325 about Antonio Da Roza. Mainly, the client alleged that Da Roza was negligent, breached his fiduciary duty, and failed to supervise certain representatives. Because of this, the client allegedly sustained damages related to life insurance products. As a result, the client requested compensation from Merrill Lynch or Da Roza. It appears that this arbitration is pending a resolution.
Notably, a client of Citigroup Global Markets Inc. contested Da Roza’s sales practices, according to a complaint. Allegedly, Da Roza made misrepresentations. It appears that Da Roza allegedly caused the client to incur damages relating to auction rate securities. Consequently, Citigroup Global Markets Inc. opted to settle the matter on December 13, 2008, by compensating the client in the amount of $25,000.
Specifically, a Salomon Smith Barney client filed Pacific Stock Exchange Arbitration Case No. 00-S021 about Antonio Da Roza. Primarily, the client alleged that Da Roza made misrepresentations, breached his fiduciary duty, breached a contract, and made unsuitable recommendations. For this reason, the client allegedly experienced damages connected to stocks. Therefore, on April 19, 2001, Salomon Smith Barney settled this matter by paying the client $51,000 in damages.
Did you suffer any investment-related losses because of Antonio Da Roza? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm takes cases on a contingency fee basis and advances all costs. Da Roza and brokerage firms Da Roza worked for deny accusations of sales practice violations.
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