$500 Check Prompts SEC Investigation
- It's Not California, But It Is BIg: Texas Sets $6.6B Online Note Sale. Albanese, Elizabeth // Bond Buyer;7/27/2004, Vol. 349 Issue 31934, p1
Reports that Texas will go to market with billions of tax and revenue anticipation rates that will be the first debt it sells via a private-label electronic bidding site custom built for the state. Texas consideration of RBC Dain Rauscher Inc. as its financial adviser for the one year note...
- New York's Dorm Authority Approves $228M of Debt. McDonald, Michael // Bond Buyer;12/2/2004, Vol. 350 Issue 32021, p36
The article unfolds the news that the board of the New York State Dormitory Authority yesterday approved four fixed-rate, tax-exempt bond refundings totaling about $227.8 million. In the largest deal, the board approved selling up to $114 million of 20-year bonds to refund State University of...
- New Hampshire Finance Agency Sets $10 Million Swap Deal. McDonald, Michael // Bond Buyer;4/4/2002, Vol. 339 Issue 31538, p4
Reports that the New Hampshire Business Finance Authority is selling the taxable and variable-rate bonds and swapping deals with RBC Dain Rauscher Inc. Number of loan guarantee and purchase programs; Identification of the capital for local economic development loans; Decline of refundable bonds...
- Upstate County Issues. Braun, Martin Z. // Bond Buyer;4/5/2004, Vol. 348 Issue 31856, p33
Reports on the plan of two upstate New York counties to sell general obligation (GO) bond and bond anticipation notes in April 2004. Negotiated sale of GO refunding bonds by Broome County with RBC Dain Rauscher Inc. as senior manager; Competitive sale of public improvement bonds by Oneida County.
- Dain Rauscher to Pay $500,000 To Settle 4-Year-Old SEC Charges. Hume, Lynn // Bond Buyer;8/14/2002, Vol. 341 Issue 31449, p1
Reports the settlement of the securities fraud charges of the Securities and Exchange Commission against RBC Dain Rauscher in Oregon County, California. Agreement to cease and decease violations related to securities law; Amount paid by the company; Enforcement of the municipal bond.
- RBC Dain Rauscher Buying 1st Institutional. Boraks, David // American Banker;12/6/2002, Vol. 167 Issue 233, p20
Reports that RBC Dain Rauscher Inc. (RDRI) has agreed to purchase a West Paterson, New Jersey-based investment banking firm First Institutional Securities LLC. Business areas of the companies; Benefits to be gained by RDRI.
- Tewksbury GOs Coming. Scarchilli, Michael // Bond Buyer;1/30/2006, Vol. 355 Issue 32308, p33
The article reports on the sale of general obligation bonds worth approximately $14.4 million in Tewksbury, Massachusetts. The sale of the fixed-rate bonds, which will mature from 2007 through 2035, will be through I-Deal LLC's Parity electronic bidding system and through hand-delivered sealed...
- A TIME FOR TRANSITION. Leder, Gerri // On Wall Street;Nov2007, Vol. 17 Issue 11, p96
The article focuses on Kevin Nolan, a financial advisor with RBC Dain Rauscher who is switching out of management to spend more time with clients. It is stated the Nolan has realized that being present in clients' lives is where he derives his satisfaction. Nolan says that he enjoys being...
- Agency to Sell $52M for Clark Atlanta University, Either This Week or Next. DeSue, Tedra // Bond Buyer;7/6/2004, Vol. 349 Issue 31919, p5
Reports that the Atlanta Development Authority is preparing to issue revenue bonds for Clark Atlanta University in Georgia. Sale of the bonds through negotiation with Legg Mason Wood Walker Inc. and RBC Dain Rauscher Inc.; Financial adviser and bond counsel of the deal; Possible factor that...