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  5. 17 F.Supp.2d 985 (1998)
 

S.E.C. v. RAUSCHER PIERCE REFSNES, INC.

No. CIV-98-0027-PHX-ROS.

17 F.Supp.2d 985 (1998)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. RAUSCHER PIERCE REFSNES, INC., James R. Feltham and Dain Rauscher Inc., Defendants.

United States District Court, D. Arizona.

August 24, 1998.

Attorney(s) appearing for the Case

Peter H. Bresnan, Securities & Exchange Commission, Washington, DC, for Securities and Exchange Commission.

Joel Philip Hoxie, David Eric Rauch, Snell & Wilmer LLP, Phoenix, AZ, for Rauscher Pierce Refsnes, Inc., James R. Feltham and Dain Rauscher Inc.

AMENDED ORDER

SILVER, District Judge.

BACKGROUND

In 1988, the Department of Administration of the State of Arizona (the "DOA") issued $121,830,000 of tax-exempt certificates of participation (the "1988 COPs") to finance the construction of six state buildings. The 1988 COPs could not be redeemed until July of 1998, and bore an average interest rate of 7.55%. In 1990, Defendant Rauscher Pierce Refsnes, Inc.1 ("Rauscher...

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