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

Violations Alleged

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

Resolutions

Bars:
First Resolution Date 28-Jan-2005
Headline Total Penalty and Disgorgement $100,000

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
34-51090 28-Jan-2005 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 as to David Lee Ullom

Other Defendants in Action: