SEC Names Monique Winkler as Associate Regional Director in San Francisco Office

Ms. Winkler began working at the SEC’s Division of Enforcement as a staff attorney in the San Francisco office in 2008 and joined the division’s Public Finance Abuse Unit in 2010.  She was promoted to Assistant Regional Director in 2015.  In her new role, Ms. Winkler will oversee the San Francisco office’s enforcement efforts for northern California and the Pacific Northwest.

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:

• 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;
• 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
• 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.

“Monique has made outstanding contributions to the San Francisco Regional Office and the Enforcement Division as evidenced by her diverse portfolio of matters,” said Stephanie Avakian, Co-Director of the SEC’s Division of Enforcement. 

“Monique will be a highly effective leader of our San Francisco enforcement program,” said Steven Peikin, Co-Director of the SEC’s Division of Enforcement.  “We are looking forward to continuing to work closely with her.”

Erin E. Schneider, Director of the San Francisco Regional Office, added, “Monique will be an outstanding leader for the office’s enforcement program.  Throughout her tenure at the Commission, she consistently has demonstrated her ability to think creatively, make sound judgments, and solve difficult issues.”

Ms. Winkler said, “I am honored to have the opportunity to serve as Associate Director.  I look forward to continuing to work with the exceptionally talented and dedicated enforcement staff in San Francisco to protect investors and prosecute violations of the securities laws.”

Prior to joining the SEC staff, Ms. Winkler practiced securities and complex commercial litigation.  Ms. Winkler earned her bachelor’s degree in psychology magna cum laude from Indiana University in 1993, and her law degree from Vanderbilt University School of Law in 1996.