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unsuitability for excessive trading, it is clear that plaintiffs have
unsuitability on excessive trading grounds or churning often accompany
It is also clear that significant problems of excessive trading and
in the securities markets for excessive trading and churning also should
Market timing and excessive trading by a few can hurt other fund shareholders by diluting share value and raising transaction costs," said NASD Vice Chairman Mary L.
There has been no suggestion that the recipients of the Wells notices profited or sought to profit from the alleged market timing and/or excessive trading of this former employee.
The Audit and Pricing Committee recommended to the Board of Trustees that it seek restitution for the Funds and their shareholders for the costs they incurred as a consequence of inappropriate employee trading in The Putnam Funds and for Putnam's failure to control excessive trading in a limited number of 401(k) accounts in a timely manner.
The report also identifies deficiencies in the monitoring and deterrence of excessive short-term trading in 401(k) plans, though the incidence of excessive trading in these plans overall was very low.
potential excessive trading by significantly increasing