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
File Number 3-11692
Allegation Type Investment Advisers/Investment Companies
Document Summary

Disgorgement & Penalty Information

Resolutions
Fair Funds
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:    

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