Agustin Jay Molina (CRD #5764714) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Agustin Jay Molina (CRD #5764714) was previously registered as a broker and has a customer dispute disclosure on FINRA BrokerCheck. We reviewed his BrokerCheck report on March 17, 2026. It reflects one customer dispute. If you invested with Agustin Molina and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Agustin Jay Molina’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On January 13, 2026, a customer alleged Agustin Molina gave advice on managed accounts that did not align with the client’s risk tolerance between February 2022 and early 2025. Agustin Molina’s FINRA BrokerCheck report lists the products as equity listed common and preferred stock and a money market fund. The customer requested $160,000 in damages. The matter remains pending, and BrokerCheck lists Blue Capital as the employing firm when the activity occurred.

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis to believe a recommendation or investment strategy fits the customer’s investment profile. Claims that advice did not match a customer’s risk tolerance often raise suitability questions.

Rule Summary #2: FINRA Rule 2090 (Know Your Customer)

FINRA Rule 2090 requires reasonable diligence to know the essential facts about each customer and account. Those facts help a firm understand the customer’s profile and maintain the account properly.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Agustin Molina:

Is not currently registered as a broker.

Has passed the Securities Industry Essentials (SIE) exam. Agustin Molina has passed Series 7 and Series 24. He has also passed Series 66.

Was previously registered with firms that include Capital Synergy Partners and Financial West Group.

Kurta Law Can Help

If you have worked with Agustin Molina and you have concerns about your account activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Breach of Contract

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.