The Financial Forum welcomes Monique Winkler on April 26th to the Fireside Room at Gateway Clubhouse at 3 P.M. Her topic will be Protecting the Senior Investor. Seniors are often the target of fraud. However, with some basic understanding of how scam artists work, you can avoid fraud and protect your hard-earned money. Learning how to invest safely can make a huge difference in your retirement years.
Monique Winkler is the Acting Regional Director and Associate Regional Director for enforcement in the SEC’s San Francisco Regional Office. Ms. Winkler joined the SEC’s San Francisco office in 2008 as a staff attorney and served as an Assistant Regional Director from 2015 to 2019. She was also a member of the Public Finance Abuse Unit from its formation in 2010 until 2019. In her role as Associate Regional Director, Ms. Winkler oversees the San Francisco office’s enforcement efforts for northern California and the Pacific Northwest. Prior to joining the Commission, Ms. Winkler practiced securities and complex commercial litigation. She earned her bachelor’s degree from Indiana University and her law degree from Vanderbilt University School of Law.
During her career with the SEC, Ms. Winkler has investigated or supervised significant enforcement matters involving a variety of securities law violations, including cases against:
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Theranos Inc., its founder and CEO Elizabeth Holmes, and its former President Ramesh “Sunny” Balwani for raising more than $700 million from investors through an allegedly elaborate, years-long fraud in which they exaggerated or made false statements about the company’s technology, business, and financial performance;
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LendingClub Asset Management LLC (formerly known as LendingClub Advisors LLC) and its former president Renaud Laplanche for fraud, where the SEC found that they misled investors and improperly used fund money to benefit LendingClub Corp., LCA’s parent company, for which Laplanche was the founder and CEO; and
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Keygent LLC, School Business Consulting Inc., and their executives, where the SEC found that they engaged in deceptive practices when soliciting the business of five California school districts.
This event is open to all members of the Financial Forum. There will be light refreshments. For more information on the event or to learn more about our club, please call Joe Hoffman at 925-954-7912.
