Securities Division, William Francis Galvin, Secretary of the Commonwealth
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Secretary Galvin Enters
Into Settlement With Putnam

(On April 8, 2004)

Putnam Press Release (PDF, 65kb)

Consent Order (PDF, 569kb)

Consent Order Supplement (PDF, 80kb)

Putnam Assessment Report - DC/401 Plans (PDF, 746kb)

Putnam Assessment Report - Employees (PDF, 746kb)

Putnam Complaint (PDF, 72kb)

Exhibit 1 (PDF, 1.7mb)

Exhibit 6 (PDF, 40kb)

Exhibit 11 (PDF, 586kb)

Exhibit 2 (PDF, 690kb)

Exhibit 7 (PDF, 175kb)

Exhibit 12 (PDF, 36kb)

Exhibit 3 (PDF, 113kb)

Exhibit 8 (PDF, 88kb)

 

Exhibit 4 (PDF, 1.2mb)

Exhibit 9 (PDF, 150kb)

 

Exhibit 5 (PDF, 93kb)

Exhibit 10 (PDF, 587mb)

 
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