Violation Tracker Individual Record
Date:July 2, 2012
Offense Group:financial offenses
Primary Offense:investor protection violation
LendingClub agreed to pay a $100,000 Administrative Fine in settlement of allegations it offered unregistered securities for sale while unlicensed in the state.
Level of Government:state
Action Type:agency action
Agency:Florida Office of Financial Regulation
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:California
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:financial services
Source of Data:
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