Brenton Ditto of LPL Financial Suspended by FINRA for GNMA Bond Sales

FINRA Allegations Against Brenton Ditto

Elizabethtown, Kentucky — FINRA brought a regulatory action against Brenton Ditto of LPL Financial, alleging that he violated Regulation Best Interest (Reg BI) by recommending complex GNMA bonds. FINRA alleged that Ditto did not have a reasonable basis for the elderly client to invest in these GNMA bonds. To settle these allegations, Ditto agreed to a four-month suspension, a $5,000 fine, and to give up $400 in commissions earned from this sale. If you suffered losses due to violations of Reg BI, you may be able to file a claim to recover your losses.

Background on Brenton Ditto

Brenton Ditto has been a representative of LPL Financial since October 2014. He worked at an Elizabethtown, Kentucky office. He has been in the securities industry since 2004.

Ditto was also the subject of a customer complaint made in 2023. The case settled for $12,475.

What If I Have Investment Losses?

Kentucky investors have the right to pursue claims through FINRA arbitration, a legal forum designed to help recover funds lost due to broker misconduct or unsuitable investment recommendations.

Brenton Ditto may be individually liable for misrepresentation, unsuitable advice, or breach of fiduciary duty. However, LPL Financial may also bear responsibility if they failed to properly supervise Ditto or ignored warning signs.

We Represent Investors in Elizabethtown and Across Kentucky

At Israels & Neuman, we have helped thousands of investors nationwide recover money lost to financial advisor misconduct and represent investors throughout Kentucky. Our attorneys have extensive experience handling claims involving LPL Financial.

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If you invested with Brenton Ditto, contact us for a free case evaluation.

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