Dory Adoracion V Jacinto (CRD #1842477) Has Customer Dispute and Judgment / Lien Disclosures on FINRA BrokerCheck

Dory Adoracion V Jacinto (CRD #1842477) is a broker with customer dispute and judgment / lien disclosures on FINRA BrokerCheck. We reviewed the BrokerCheck report on May 12, 2026. It reflects one customer dispute and six judgment / lien disclosures. If you invested with Dory Jacinto and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Dory Jacinto’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On March 11, 2026, a customer alleged Dory Jacinto made unauthorized trades and used unsuitable investments in February 2026. The customer sought $9,807.47 in damages. Dory Jacinto FINRA BrokerCheck lists the product as equity listed common and preferred stock. The matter is pending.

Judgment / Lien Disclosures

Dory Jacinto’s FINRA BrokerCheck Report reflects six judgment / lien disclosures. Two examples are summarized below. Four additional judgment / lien disclosures remain listed in the report.

On April 27, 2020, Queens County Court recorded a tax lien. Dory Jacinto FINRA BrokerCheck lists the holder as the State of New York. The reported amount is $1,949. The report lists the lien as outstanding.

On March 6, 2018, records show another tax lien. Dory Jacinto FINRA BrokerCheck lists the holder as Nassau County Clerk. The reported amount is $26,154. The report lists the lien as outstanding.

Rule Summary #1: FINRA Rule 3260 (Discretionary Accounts)

FINRA Rule 3260 limits discretionary trading in customer accounts. A broker cannot use discretion unless the customer gives written authorization and the firm accepts the account in writing. Unauthorized trading complaints often raise questions under this rule.

Rule Summary #2: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 (Suitability) requires a reasonable basis for each recommendation. A broker should match the recommendation to the customer’s profile. That profile includes risk tolerance, time horizon, and liquidity needs.

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.

Reg BI has four key obligations:

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-dealer relationships in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on Dory Jacinto’s FINRA BrokerCheck report, Dory Jacinto:

Is currently registered with LPL Enterprise LLC.

Has passed the Securities Industry Essentials (SIE) exam. Dory Jacinto has passed Series 6. The report also lists Series 65 and Series 63.

Was previously registered with firms that include Pruco Securities LLC and MetLife Securities Inc.

Kurta Law Can Help

If you worked with Dory Jacinto and have concerns, Kurta Law may be able to help. The firm can evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Unsuitable Investments

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. An attorney can review the facts. That review can help explain possible next steps.