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TABLE 11, PART 5.-Volume of stock sales, monthly, from July 1937 to June 1938, inclusive

[Thousands of shares]

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Standard Stock Exchange of Spokane.
Washington Stock Exchange..

Total all registered exchanges.

Footnotes at end of table.

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TABLE 11, PART 6.--Principal amount of bond sales, monthly, from July 1937 to June 1988, inclusive

[Thousands of dollars]

Los Angeles Stock Exchange.

New Orleans Stock Exchange.

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New York Curb Exchange.

New York Real Estate Securities Exchange.

New York Stock Exchange.

Philadelphia Stock Exchange.

Pittsburgh Stock Exchange.

St. Louis Stock Exchange.

San Francisco Curb Exchange 5.

San Francisco Stock Exchange.

Washington Stock Exchange..

Less than $500.

For back figures see Third Annual Report, page 156; Second Annual Report, insert facing page 116; First Annual Report, pages 87-91.

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APPENDIX VI

LITIGATION INVOLVING STATUTES ADMINISTERED BY THE COMMISSION

TABLE I.-Injunctive proceedings brought by Commission under Securities Act of 1933 and Securities Exchange Act of 1934 which were pending during the fiscal year ended June 30, 1938

Automatic Guns, Inc. et al.

Automatic Machine Manufacturing

Benjamin Franklin Foundation, Inc.

Benners, Owens & Co. et al.

Boland, James J. et al..

The Bond and Share Co. et al.

Bradley, Ellner Co., Inc. et al..

Brittell Oil, Inc. et al.

Buckhorn Mining Co. et al.

Buffalo Ontario Gold Mining Co.,
Inc.

Capital Savings Plan, Inc. et al..

Carpenter, John E. et al..

Christianson, Mackinnon & Co., Inc..
College of Intellectual Science et al...

Preliminary injunction granted May 15, 1936, against
Benners, Owens & Co., A. P. Benners, and M. D.
Haynes. Pending.

Permanent injunction by consent Feb. 8, 1938, against
all defendants.

Permanent injunction by consent Aug. 11, 1937,
against 12 defendants; Sept. 9, 1937, against remain-
ing defendant.

Permanent injunction by consent May 21, 1938,
against all defendants.

Permanent injunction by consent Jan. 20, 1938,
against both defendants.

Permanent injunction by consent Apr. 29, 1938
against both defendants.

Permanent injunction by consent on Dec. 16, 1937.

Permanent injunction by consent June 23, 1938,
against both defendants.

Permanent injunction by consent on Sept. 4, 1937,
against all defendants.

Permanent injunction by consent on Apr. 5, 1938.
Permanent injunction against all defendants entered
in accordance with stipulation of June 20, 1938.

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Decker, A. K.

1

Western district of Wash-
ington.

Nov. 5, 1937

Deer Park Natural Pigments, Inc.,
et al.

2

Eastern district of Wash

Aug. 19, 1937

ington.

Direct Royalty Sales Corp. et al.

3

District of Columbia.

Sept. 23, 1935

Double Eagle Syndicate et al.

9

Colorado

Sept. 29, 1937

Hept 1. 1937.

Sec. 17 (a) (1) and (2) of 1933 act.

Sec. 17 (a) of 1933 act..
Sec. 9 (a) (2) of 1934 act.---
Secs. 5 (a) (1) and (2) and 17

(a) (1) (2) and (3) of 1933 act;
sec. 15 (a) of 1934 act.
Secs. 5 (a) and 17 (a) (2) of 1933
act.

Secs. 5 (a) and 17 (a) of 1933

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Preliminary injunction on Nov. 16, 1937, against Com-
mercial Bankers of Boston, Inc. Pending against
remaining defendant.

Permanent injunction by consent on Apr. 25, 1938, as
to both defendants.

Permanent injunction by consent on June 7, 1937, as
to both defendants.

Permanent injunction by consent on Jan. 20, 1938.

Permanent injunction by consent on Nov. 18, 1937,
against all defendants.

Injunction granted on Jan. 21, 1937, as to 2 defendants,
affirmed by Circuit Court of Appeals for the
Seventh Circuit on Nov. 23, 1937, dismissed as to
Adams on Sept. 16, 1936, and as to Wells-Kendall
Co. on Jan. 21, 1937.

Preliminary injunction granted on May 20, 1936, as
to both defendants. Pending.

Permanent injunction by consent on Oct. 14, 1937.

Permanent injunction by consent on Nov. 5, 1937.

Permanent injunction by consent on Aug. 19, 1937,
against both defendants.

Suit dismissed on motion of Commission against 2
defendants on Jan. 10, 1938. Stipulation to dis-
continue acts and practices complained of entered
into by third defendant on Dec. 12, 1937.

Permanent injunction by consent on Dec. 15, 1937
against 6 defendants. Suit dismissed on motion
of Commission as to the remaining 3 defendants
on Dec. 15, 1937.

Permanent injunction granted by consent on May
9, 1938, as to Goodwin. Pending as to Durante.
Permanent injunction by consent on July 2, 1937.
Injunction by consent on June 27, 1938, against both
defendants.

Permanent injunction by consent on Nov. 20, 1937,
against both defendants.

Permanent injunction as to all defendants entered on
July 26, 1937.

Suit dismissed against all defendants on Sept. 16, 1937,
on ground case had become moot.

Permanent injunction by consent on Jan. 27, 1938,
against all but J. H. Ferguson. Pending as to re-
maining defendant.

Permanent injunction by consent on June 27, 1938.

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nessee.

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TABLE 1.--Injunctive proceedings brought by Commission under Securities Act of 1933 and Securities Exchange Act of 1934 which were pending during the fiscal year ended June 30, 1938-Continued

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