Dolphin & Bradbury to Appeal Judge's Securities Fraud Ruling

Hume, Lynn
March 2005
Bond Buyer;3/2/2005, Vol. 351 Issue 32081, p1
Trade Publication
The article reports that the company Dolphin & Bradbury and its chairman plan to appeal an administrative law judge's decision ordering them to pay almost $1 million for violating the securities fraud laws by allegedly misleading investors in connection with $75.35 million of now-defaulted bonds that the firm underwrote for a county authority to finance the purchase of an office building. The Philadelphia-based Dolphin & Bradbury has until 21 days after receiving a paper copy of the ruling, or sometime later this month, to file the appeal with the five-member U.S. Securities and Exchange Commission.


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