SEC Fines Dolphin & Bradbury

Hume, Lynn
July 2006
Bond Buyer;7/17/2006, Vol. 357 Issue 32424, p1
Trade Publication
The article reports that the U.S. Securities and Exchange Commission (SEC) penalized Dolphin & Bradbury Inc. and its former top executive Robert J. Bradbury for selling investor bonds based on offering documents that omitted critical information. According to the SEC, the firm and Bradbury misled investors in connection with $75.4 million of bonds sold by Pennsylvania's Dauphin County General Authority in July 1998. Bradbury and the firm were ordered by the SEC to pay $1 million.


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