SEC Case: Underwriter's Counsel Unaware of Moving Plans

Hume, Lynn
August 2004
Bond Buyer;8/19/2004, Vol. 349 Issue 31951, p4
Trade Publication
Reports on the testimony of lawyer Thomas O'Neill in the U.S. Securities and Exchange Commission's securities fraud case against underwriter Dolphin and Bradbury and financial adviser Public Finance Consultants Inc. Details of the case; Ignorance to the disclosures made in the official statement for the bonds; Unawareness to the financial projections for the building.


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