Legal Opinion
Dolphin & Bradbury, Inc. v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided January 11, 2008No. 06-1319PublishedCited by 40 opinions
1Opinion of the Court
Opinion for the court filed by Circuit Judge BROWN.
BROWN, Circuit Judge:
Dolphin & Bradbury, Inc. and Robert J. Bradbury petition for review of a Securities and Exchange Commission order holding them liable for violations of multiple securities laws. Petitioners claim they lacked the requisite intent. We disagree and deny the petition for review.
I
Petitioner Dolphin & Bradbury, Inc., a registered broker-dealer, served as underwriter for the municipal bonds issued by the Dauphin County General Authority (DCGA) to finance the purchase of Forum Place, an office building in Harrisburg,…
2Cases cited19 opinions
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- TSC Industries, Inc. v. Northway, Inc.Supreme Court of the United States · 1976
- Dickinson v. ZurkoSupreme Court of the United States · 1999
- Securities & Exchange Commission v. Capital Gains Research Bureau, Inc.Supreme Court of the United States · 1963
- Aaron v. Securities & Exchange CommissionSupreme Court of the United States · 1980
14 more not listed; retrieve them via the Exa API.
3Cited by40 opinions
- Securities & Exchange Commission v. TamboneCourt of Appeals for the First Circuit · 2010
- Slayton v. American Express Co.Court of Appeals for the Second Circuit · 2010
- Wilson v. Merrill Lynch & Co., Inc.Court of Appeals for the Second Circuit · 2011
- Set Capital LLC v. Credit Suisse Group AGCourt of Appeals for the Second Circuit · 2021
- Securities & Exchange Commission v. TamboneCourt of Appeals for the First Circuit · 2008
35 more not listed; retrieve them via the Exa API.