Defendant Name:
J. Stephen Putnam
Defendant Type:
Individual
Document Reference:
id296bpm
Document Details
Legal Case Name
In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom
Document Name
Initial Decision
Document Date
15-Sep-2005
Document Format
Administrative Proceeding
File Number
3-11692
Administrative Law Judge
Brenda P. Murray
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Bars:
- 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 for 90 days
Monetary Penalties:
Civil Penalty
Individual:
$200,000.00
Shared:
Other Defendants in Action:
