Defendant Name:
J. Stephen Putnam
Defendant Type:
Individual
Document Reference:
33-8636
Document Details
Legal Case Name
In the Matter of Raymond James Financial Services, Inc. and J. Stephen Putnam
Document Name
Notice That Initial Decision Has Become Final
Document Date
21-Nov-2005
Document Format
Administrative Proceeding
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:
