# SEC Investment Advisers Act of 1940 order IA-3499
> Respondent: **James E. Putman** · — · File 3-14889
## Proceeding
- **Release Number:** IA-3499
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-14889
- **Publish Date:** —
## Respondents
- James E. Putman
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2012/ia-3499.pdf](https://www.sec.gov/files/litigation/admin/2012/ia-3499.pdf)

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*Source: [SEC Administrative Proceedings](https://www.sec.gov/litigation/admin) · AI Analytics · CC0 1.0*