Underwriter and SEC Tangle Over Charges in Post-Hearing Briefs

Hume, Lynn
October 2004
Bond Buyer;10/14/2004, Vol. 350 Issue 31989, p5
Trade Publication
Reports that underwriter Dolphin & Bradbury and its chief executive officer Robert Bradbury are disputing with the United States Securities and Exchange Commission attorneys over what charges the commission can pursue against them for allegedly making false and misleading disclosures to investors about bonds issued in 1998. Issuence of the bonds by Dauphin County, Pennsylvania General Authority; Law firm representing the company and Bradbury; Claims of SEC that the company and Bradbury violated the Municipal Securities Rulemaking Board's rule G-17.


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