Articles Posted in violations of Reg BI

Brenton Ditto of LPL Financial Suspended by FINRA for GNMA Bond Sales
Israels & Neuman, PLC

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…

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