Our Staff has compiled our research into a database of FINRA Broker Disclosures for Putnam Retail Management Limited Partnership. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Jessica A Duke | 6282236 | 1 | 10/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natalie Tisha Palmer | 3254012 | 2 | 03/07/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natalie Tisha Palmer | 3254012 | 2 | 01/09/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Austin Michael Gilbert | 5885772 | 1 | 12/02/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Rowe Buckley | 5292014 | 1 | 02/05/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Bunker | 2156501 | 1 | 08/12/2005 | Customer Dispute | Settled | $5,134.75 | $0.00 | See FINRA Report |
| Kevin R. Monaghan | 5984096 | 2 | 09/04/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin R. Monaghan | 5984096 | 2 | 01/23/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |