TONY DAROZA – MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Broker Has An Investor Complaint – May Recover Investor Losses
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Broker Has An Investor Complaint.
ANTONIO PEDRO DAROZA, TONY DAROZA
CRD#: 2087563
ANTONIO PEDRO DAROZA (CRD#: 2087563), a financial adviser for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED in SAN FRANCISCO, CA , has a pending investor complaint. According to DAROZA’s FINRA BrokerCheck report, The Claimants alleges negligence, breach of fiduciary duty and failure to supervise from November 2020 to December 2022.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Broker Has An Investor Complaint.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $500 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 8/13/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.