Investors Name Antonio daRoza in Allegations of Negligence

Antonio daRoza (CRD #: 2087563), a broker registered with Merrill, Lynch, Pierce Fenner & Smith, is involved in a pending dispute, according to his BrokerCheck record, accessed on August 17, 2025. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On July 10, 2025, multiple investors named Antonio daRoza in allegations of failure to supervise and negligence from November 2020 to December 2022. This dispute is currently pending.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish supervisory systems to ensure their compliance with securities regulations. Firms must appoint supervisors and provide them with Written Supervisory Procedures (WSPs) to follow.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

What is broker negligence?

Broker misconduct can take on many forms, including unsuitable investment recommendations, misrepresentations or omissions of material fact, and excessive trading.

Investors who believe their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Background Information

Antonio daRoza has passed the following exams:

• Securities Industry Essentials Examination – SIE
• National Commodity Futures Examination – Series 3
• General Securities Representative Examination – Series 7
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Antonio daRoza is a registered broker in all 50 states as well as the District of Columbia, Puerto Rico, and the Virgin Islands. He is a registered investment adviser in California and Texas.

He has also worked for the following firms:

• Morgan Stanley Smith Barney (CRD#:149777) 
• Citigroup Global Markets (CRD#:7059)
• Lehman Brothers (CRD#:7506) 

Kurta Law Can Help

If you worked with Antonio daRoza and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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.