Jason Augustine Vicente (CRD #6001746) Has a Regulatory Action Disclosure on FINRA BrokerCheck

Jason Augustine Vicente (CRD #6001746) was previously registered as a financial professional. We reviewed his BrokerCheck report on May 14, 2026. It reflects one regulatory action disclosure. If you invested with Jason Vicente and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Action(s)

Jason Vicente’s FINRA BrokerCheck Report reflects one regulatory action disclosure. A summary of the matter is below:

On April 20, 2026, the Virginia State Corporation Commission, Division of Securities and Retail Franchising, finalized a regulatory action involving Jason Vicente and DIYtrades, LLC. Jason Vicente’s FINRA BrokerCheck disclosure says Vicente and DIYtrades, LLC paid $12,000 in restitution, $5,000 in civil penalties, and $1,500 for investigation costs. The matter cited violations of Virginia Securities Act sections 13.1-502(2), 13.1-504 A(i), and 13.1-507. The regulator imposed a permanent bar in all capacities and listed a $6,500 civil and administrative penalty or fine.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor)

FINRA Rule 2010 requires member firms to observe high standards of commercial honor and just and equitable principles of trade. Regulatory actions can raise questions about whether conduct met those standards.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain a supervisory system designed to achieve compliance with securities laws and FINRA rules. A regulatory action may also raise questions about how activity was reviewed and controlled.

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-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Jason Vicente:

Was previously registered with Fidelity Brokerage Services LLC.

Has passed the Series 7 and Series 63 exams.

Is not currently registered as a broker or investment adviser representative based on the reviewed profile information.

Kurta Law Can Help

If you have worked with Jason Vicente and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. A securities attorney can assess potential causes of action and determine whether your losses may be recoverable through FINRA arbitration or other avenues. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What Is Securities Fraud

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.