(CRD #4779103, Elizabethtown, Kentucky)

August 8, 2025 – An AWC was issued in which Brenton Ditto was fined $5,000, suspended from association with any FINRA member in all capacities for four months, and ordered to pay disgorgement of commissions received in the amount of $402.58, plus interest. Without admitting or denying the 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-yearold customer invest in Government National Mortgage Association (GNMA) support class bonds. The findings stated that GNMA support class bonds are 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. Ditto recommended that his customer purchase the bonds for approximately $71,000, for which Ditto received over $400 in commission. Ditto failed to review the prospectus and did not take into account the risk factors associated with recommending the support class bonds, including that principal repayments for the bonds could be directed to those classes with a higher priority, and in a rising interest rate environment the bonds were likely to lose value. Indeed, interest rates rose after Ditto purchased the support class bonds and his customer received no principal repayment on the bonds and their value decreased. Ditto’s customer incurred approximately $19,000 in losses from his investments and settled a claim with Ditto’s member firm. The suspension is in effect from September 2, 2025, through January 1, 2026. (FINRA Case #2023079054101) If you have suffered losses as a result of Brenton Ditto's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Brenton Ditto. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.