Defendant Name:
Renaud Laplanche
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Lendingclub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud Laplanche, and Carrie Dolan
First Document Date
28-Sep-2018
Initial Filing Format
Administrative Action
File Number
3-18855
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: CEO at LendingClub Asset Management, LLC (Until May 2016)
- Former: President at LendingClub Asset Management, LLC
- Current: Founder at LendingClub Asset Management, LLC
Violations Alleged
•
Section 206(1) Advisers Act
Related Violations Alleged
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 3 years
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 3 years
First Resolution Date
28-Sep-2018
Headline Total Penalty and Disgorgement
$200,000
Other Defendants in Action:
