Author Topic: Renaud Laplanche Banned from Securities Industry  (Read 859 times)

rawraw

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Renaud Laplanche Banned from Securities Industry
« on: September 28, 2018, 01:25:27 PM »
Not what I expected to see from the SEC on Twitter!

Fred93

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Re: Renaud Laplanche Banned from Securities Industry
« Reply #1 on: September 28, 2018, 02:44:23 PM »
Here are the exact words from today's SEC order...

C. Laplanche be, and hereby is:
barred from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and prohibited from serving or acting as an employee, officer, director, member of 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; with the right to apply for reentry after three (3) years to the appropriate self-regulatory organization, or if there is none, to the Commission.