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Thursday, April 18, 2024 | Back issues
Courthouse News Service Courthouse News Service

Court Affirms SEC Ruling Against Broker-Dealer

WASHINGTON (CN) - The D.C. Circuit has ruled against Dolphin & Bradbury, finding that the broker-dealer failed to disclose to potential investors that the main tenant of a new office building - the Pennsylvania Department of Transportation - would move out within four years of opening. See ruling.

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