Defendant Name:
David Lee Ullom
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
Affiliations
- Former: Broker/Registered Representative at Raymond James Financial, Inc. (January 1999—November 2002)
- Former: Manager at Raymond James Financial, Inc.
- Former: person associated with a broker or dealer and with an investment adviser at Raymond James Financial, Inc.
- Former: person associated with a broker or dealer and with an investment adviser at an unidentified individual or entity
Violations Alleged
•
Section 15(b) Exchange Act; Section 203(f) Advisers Act
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 1 year
- Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of permanent duration)
First Resolution Date
28-Jan-2005
Headline Total Penalty and Disgorgement
$100,000
Other Defendants in Action:
