Defendant Name: David Lee Ullom

Defendant Type: Individual

Document Reference: 34-51090

Document Details

Legal Case Name In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom
Document Name 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
Document Date 28-Jan-2005
Document Format Administrative Proceeding
File Number 3-11692
Allegation Type Investment Advisers/Investment Companies
Document Summary

Disgorgement & Penalty Information

Resolutions
Various undertakings
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)
Monetary Penalties:

Civil Penalty

Individual:     $100,000.00 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