Defendant Name: Carrie Dolan

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

Violations Alleged

Other
• Section 206(4), Rule 206(4)-8 Advisers Act

Related Violations Alleged

Carrie Dolan is alleged to have caused LendingClub Asset Management, LLC's violation of Section 206(4), Rule 206(4)-7 Advisers Act (willfully/knowingly).

Resolutions

First Resolution Date 28-Sep-2018
Headline Total Penalty and Disgorgement $65,000

Related Documents:

IA-5054 28-Sep-2018 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

LendingClub Asset Management, LLC
Renaud Laplanche