Defendant Name:
Stephen Cheryl Bauman
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Stephen Cheryl Bauman
First Document Date
17-Jul-2009
Initial Filing Format
Administrative Action
File Number
3-13551
Allegation Type
Broker Dealer
Affiliations
- Former: Chief Compliance Officer at J.P. Turner & Company, LLC (July 1999—July 2004)
- Former: ACCO at J.P. Turner & Company, LLC (July 2004—March 2008)
Violations Alleged
Related Violations Alleged
Stephen Cheryl Bauman is alleged to have caused J.P. Turner & Company, LLC's violation of Rule 30(a) Regulation S-P.
Resolutions
First Resolution Date
17-Jul-2009
