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BRADBURY v. S.E.C.

No. 06-1319.

512 F.3d 634 (2008)

Dolphin and BRADBURY, Incorporated and Robert J. Bradbury, Petitioners v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided January 11, 2008.

Attorney(s) appearing for the Case

Philip G. Kircher argued the cause and filed the briefs for petitioners.

Rada Lynn Potts, Senior Litigation Counsel, Securities & Exchange Commission, argued the cause for respondent. With her on the brief were Brian G. Cartwright, General Counsel, Andrew N. Vollmer, Deputy General Counsel, and Jacob H. Stillman, Solicitor.

Before: GINSBURG, Chief Judge, and BROWN and GRIFFITH, Circuit Judges.

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...

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