Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Alezi (Alezi), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Alezi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 25, 2025.
The client alleges she loaned the Financial Advisor money for an investment strategy that would generate 30% returns. The client states the Financial Advisor has only made nominal repayments to the loan and she has not received a 30% return.