Investigation into LPL broker's eBay business leads to bar

After Renee Altamirano declines to appear at a hearing, Finra bars her

Apr 16, 2019 @ 1:50 pm

By InvestmentNews

The Financial Industry Regulatory Authority Inc. has barred former LPL broker Renee Altamirano after she declined to take part in an investigation of her outside business activities.

LPL terminated Ms. Altamirano in March 2018 for violating of its policy regarding outside business activities. The company said she was engaging in a business of online sales of various merchandise on eBay, some of which belonged to her supervisor and/or the firm, according to a Finra letter of acceptance, waiver and consent.

(More: Finra bars rep for scamming Fidelity on computer purchases)

Ms. Altamirano, who was affiliated with LPL for three years, was registered with LPL in Hot Springs Village, Ark., according to Finra's BrokerCheck database.


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