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


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.


First Resolution Date 17-Jul-2009

Related Documents:

34-60326 17-Jul-2009 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

Related Actions:

In the Matter of J.P. Turner & Company, LLC