Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominick Profaci (Profaci), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Profaci recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 22, 2022.
The clients allege it was not in their best interest when the financial advisor had them sell a CD with penalties and move to a fixed income/equity portfolio.