Word: dillon
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Dates: during 1970-1979
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Massachusetts Secretary of State Paul H. Guzzi '64 yesterday ordered Bill Dillon and Co., an investment firm run by Harvard undergraduates, to halt all further business in the Commonwealth pending possible charges of fraud and other business irregularities...
Guzzi charges William P. Dillon '79, founder and president of the company, with violating the anti-fraud provision of the Massachusetts Uniform Security Act by preparing and signing letters from customers authorizing the purchase or sale of securities without the knowledge of the customers...
Described in newspaper accounts as "the youngest stockbroker in the country" when he started the company in 1976, Dillon has offered advice on investments to scores of Harvard students--and even a few faculty members--from his office above Brigham's Ice Cream on Mass...
...order against Dillon, an economics major who is presently on a leave of absence from Harvard, also alleges that he represented his firm as an independent business and himself as a broker-dealer when in reality his firm was a branch office of the Securities Investment Services Corp. (SIS) of Boston and Dillon an agent of that corporation. He was charged, further, with depositing payments in a Dillon Company bank account over which he alone had control...
...Dillon, who says he has fully cooperated with the investigation, denied the charges that he wrote letters for customers without their permission and violated state regulations by depositing payments in the Dillon Co., bank account...