Allegedly Unethical Firms Putnam Investment Management
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| Putnam Agrees to Pay for Losses Attributable to Excessive Trading - SEC found that Putnam committed securities fraud by failing to disclose potentially self-dealing excessive short-term and market timing trading. |
| Putnam Agrees to Pay to Resolve Market Timing Charges by SEC - Putnam settles with SEC for violating federal securities laws by failing to disclose improper market timing trading by its portfolio managers.[SEC] (April 8, 2004) |
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