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2023079054101 Brenton Ditto CRD 4779103 AWC gg.pdf
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2023079054101 Brenton Ditto CRD 4779103 AWC gg.pdf
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 violation…
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