BRENTON E DITTO of LPL FINANCIAL

BRENTON E DITTO (BRENT E DITTO BRENTON EDWARD DITTO) is currently registered as a broker with LPL FINANCIAL LLC of Elizabethtown, Kentucky since 10/30/2014 and is also registered with them as an investment advisor since 7/8/2022.

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRENTON E DITTO has 20 years of experience in the securities industry and has been listed with 5 firms.  Ditto has 2 disclosures on his FINRA CRD report. One of the disclosures is a “Customer Dispute,” dated 6/20/2023.  The allegations were, “Complaint alleges unsuitable recommendation,” and was settled for $12,475.77.  In the Broker Comment, Ditto denies the allegations and claims it was “settled purely as a business decision.” 

There is a “Regulatory” disclosure dated 8/7/2025 on BRENTON E DITTO’s FINRA CRD report.  BRENTON E DITTO was fined $5,000.00, ordered to pay a disgorgement of $402.58 and suspended by FINRA for 4 months.  According to the FINRA report, without admitting or denying FINRA’s findings, Ditto consented to the sanctions and to the entry of findings that he willfully violated Rule 15l-1(a)(1) under the Securities Exchange Act of 1934 (Reg BI) by recommending that that a 95-year-old client invest in Government National Mortgage Association (GNMA) support class bonds, a complex product for which, according to FINRA, BRENTON E DITTO did not have a reasonable basis to believe was in the client's best interest based on his investment profile.

FINRA’s findings stated that BRENTON E DITTO allegedly recommended that his client purchase GNMA support bonds for approximately $71,000, for which Ditto received over $400 in commission. According to the FINRA report, Ditto failed to review the prospectus and did not consider the risk factors associated with recommending the support class bonds, including that principal repayments for support class bonds could be directed to those classes with a higher priority, and in a rising interest rate environment support class bonds were likely to lose value.

According to FINRA, interest rates rose after BRENTON E DITTO purchased the support class bonds and his client received no principal repayment on the support class bonds and their value decreased. Ditto's client incurred approximately $19,000 in losses from his investments and settled a claim with Ditto's member firm.

To discuss this or any other securities issues, contact an experienced lawyer at no cost at Soreide Law Group:  888-760-6552.

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