Defendant Name: J. Stephen Putnam

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom
First Document Date 30-Sep-2004
Initial Filing Format Administrative Action
File Number 3-11692
Allegation Type Investment Advisers/Investment Companies


Violations Alleged

Section 15(b) Exchange Act; Section 203(f) Advisers Act


First Resolution Date 15-Sep-2005
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

33-8499-o 30-Sep-2004 Administrative Proceeding
Order Instituting Public Administrative and Cease-And-Desist Proceedings and Notice of Hearing Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 203(f) of the Investment Advisers Act of 1940
id296bpm 15-Sep-2005 ALJ Initial Decision
Initial Decision
33-8636 21-Nov-2005 ALJ Order
Notice That Initial Decision Has Become Final

Other Defendants in Action: