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Brenton Ditto

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/08/2025: In September 2021, Ditto recommended that a 95-year-old customer invest in Government National Mortgage Association (GNMA) support class bonds, a complex product for which Ditto did not have a reasonable basis to believe was in the customer's best interest based on his investment profile. Therefore, Ditto willfully violated Rule 15!-1(a)( 1) under the Securities Exchange Act of 1934 (Reg BI) and also violated FINRA Rule 2010. For these violations, Ditto is suspended for four months in all capacities, fined $5,000, and ordered to disgorge his commissions of $402.58, plus interest.

    Reference 2023079054101data-portal.finra.orgfinra.org

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