1, 1934 Act. July 3, 1962 Sec. 15(c)(3) and Rule 15c3- Complaint and request for appointment of a receiver entered July 3, 1962.

Secs. 15(c) (1), 15(c)(3) and
17(a), and Rules 15c1-2,
15c3-1 and 17a-3, 1934 Act.

Mar. 5, 1963 Secs. 17(a), 1933 Act, and 7,
17(a) and 4 and Rules
17a-3 and 17a-5, 1934 Act.
Sec. 17(a), 1933 Act..

Secs. 17(a) (2) and 17(a) (3),
1933 Act.

Secs. 5(a) and 5(c) 1933 Act..

Secs. 15(a) and 17(a), Rule
17a-3, 1934 Act.

Pending as to receiver.
Final judgment entered as to both defendants by consent, July 3, 1962.

Final judgment by consent as to both defendants, and order appointing re-
ceiver entered Dec. 11, 1961. Order entered discharging 1 defendant,
individually, from the final judgment and receivership. Order entered
discharging equity receiver. Closed.

Complaint and request for appointment of a receiver filed Mar. 5, 1963.
Order entered Mar. 6, 1963, appointing receiver. Preliminary injunction
entered as to 3 defendants Apr. 10, 1963. Pending.

Complaint filed Apr. 12, 1963. Preliminary injunction entered May 3,
1963, as to 1 defendant. Pending.

Summons and complaint filed July 24, 1961. Order entered dismissing the
action as to both defendants, Jan. 7, 1963. Closed.

Complaint filed June 22, 1962. Final judgment by consent as to 4 defend-
ants entered Aug. 3, 1962. Order entered dismissing the action as to 3
defendants Aug. 3, 1962. Closed.

Summons and complaint filed June 7, 1962. Final judgment by consent
entered as to 2 defendants Feb. 20, 1963. Final judgment by default as
to 1 defendant entered May 31, 1963. Pending.

Secs. 5(a) and 5(c) and Sec. Complaint filed Apr. 12, 1962. Final judgments by consent as to 5 defend-
17(a), 1933 Act.
ants entered Apr. 27, 1962, and action dismissed as to 1 defendant. Final
judgments by consent as to 2 defendants entered June 18, 1962, and as to
1 defendant July 18, 1962. Final judgment by consent as to 2 defendants
entered May 21, 1963. Closed.

Sec. 15(c)(3) and Rule 15c3-1, Note of issue filed Aug. 6, 1958. Stipulation dismissing action as to both
1934 Act.
defendants entered Mar. 5, 1963. Closed.

Dec. 8, 1961

Apr. 12, 1963

Inc.

July 24, 1961
June 22, 1962

717-943-64

Zwang & Co., Inc.,
Benjamin.

2

Southern District Sept. 27, 1956 of New York.

TABLE 18.-Proceedings by the Commission to enforce subpoenas pending during the fiscal year ended June 30, 1963

Status of case

Order Aug. 17, 1962, directing respondent to show cause why order should
not issue requiring compliance with subpoena. Motion by respondents
to transfer action to the U.S. District Court in Colorado, filed Aug. 24,
1962. Order entered Sept. 5, 1962, granting said motion. Closed by
consolidation with related action entitled S.E.C. v. Forrest Parrott.
Order Nov. 7, 1962, directing respondent to show cause why order should
not issue requiring compliance with subpoena. Order dismissing action
Nov. 28, 1962. Closed.

Application June 14, 1963, for an order directing respondent to show cause
why an order should not issue requiring compliance with subpoena
duces tecum. Pending.
Order Feb. 11, 1963, directing respondent to show cause why order should
not issue requiring compliance with subpoena. Order to show cause
returnable Feb. 27, 1963. Respondent complied with the subpoena
duces tecum. Action dismissed Mar. 29, 1963. Closed.

Order July 18, 1962, directing respondent to show cause why order should
not issue requiring compliance with subpoena. Motion to dismiss and
order dismissing action Oct. 25, 1962. Closed.

Application May 7, 1963, for an order directing respondent to show cause why an order should not issue requiring compliance with subpoena. Closed.

Application Apr. 5, 1963, for an order directing respondents to show cause
why order should not issue requiring compliance with subpoena.
entered Apr. 23, 1963, compelling respondents to comply with Commission
subpoena. Closed.
Application Sept. 20, 1962, for an order directing respondents to show cause
why order should not issue requiring compliance with subpoena. Order
entered consolidating related subpoena action entitled S.E.C. v. Alfred O.
Brehmer with S. E. C. v. Forrest Parrott. Notice of appeal filed from
order, dated Apr. 24, 1963, conditioning enforcement of subpoena. Briefs
filed. Pending.
Order Sept. 28, 1962, directing respondent to show cause why an order should
not issue requiring compliance with subpoena. Order entered Dec. 5,
1962, compelling respondent to comply with order of Sept. 28, 1962. No-
tice of appeal filed from order entered Dec. 5, 1962. Pending.

Order Sept. 21, 1961, directing respondent to show cause why an orders hould
not issue requiring compliance with subpoena. Commission's motion to
dismiss granted. Closed.

Order June 13, 1962, directing respondent to show cause why order should
not issue requiring compliance with subpoena. Order to show cause
returnable July 5, 1962. Pending.
Order Aug. 17, 1962, directing respondent to show cause why order should
not issue requiring compliance with subpoena. Order to show cause
returnable Aug. 31, 1962. Pending.

Application for an order compelling respondents to comply with subpoena issued. Order Nov. 27, 1962, directing respondents to comply with Commission subpoena. Closed.

TABLE 19.-Actions pending during fiscal year ended June 30, 1963, to enforce voluntary plans under Section 11(e) to comply with Section 11(b) of the Public Utility Holding Company Act of 1935

Long Island Lighting Co., et Eastern District of Reopened Oct. 14, 1960. al, In re. New York.

Louisiana Gas Service, et al.,
In re.

Eastern District of
Louisiana.

Reopened Aug. 12, 1960...

Status of case

Application filed by Commission for an order enforcing the carrying out of a plan pursuant
to Sec. 11(d) and 18(f) of the 1935 Act as per Commission order of July 14, 1960.
Sept. 2, 1960, approving and enforcing plan with the court taking jurisdiction and posses-
sion of Arkansas Fuel Oil Corp. and its assets. Plan consummated Dec. 2, 1960. Fees
and expenses hearings held. Record thereon closed Dec. 5, 1961. Certain fees approved
and paid. Certain other fee claims pending. Pending.
Petition filed June 25, 1956, by Cities Service Company for an order requiring Elias Auer-
back to show cause why he should not be adjudged in comtempt of order entered Jan. 20,
1953. Petition filed by Louis E. Marron July 23, 1956, seeking intervention. Order
Oct. 26, 1956, denying petition for intervention but directing the petitioner be permitted
to appear amicus curiae. This action was mooted by the claims settlement approved and
enforced as a part of the Sec. 11(d) plan and consummated Dec. 2, 1960. Closed.
Application filed by Commission for an order enforcing the carrying out of an amended plan
pursuant to Sec. 11(e) of the 1935 Act as per Commission order of Nov. 5, 1962, and to
enjoin interference with the plan. Order Dec. 13, 1982, approving and enforcing the
amended plan. Pending.

Application by Long Island Lighting Co. for an order extending time for the exchange of its
old stock for the new stock provided in the plan of consolidation from Oct. 24, 1960 to
Oct. 24, 1962. Order Oct. 19, 1980, granting application with Commission's consent
attached. Closed.

Supplemental application filed by Commission for an order enforcing the carrying out of
amendments to a plan pursuant to Sec. 11(e) and 18(f) of the 1935 Act approved by Com-
mission order of Aug. 11, 1960, and to enjoin interference with amended plan. Order
Sept. 14, 1900, approving and enforcing amendments to the plan. Pending.

Application filed by Commission for an order enforcing the carrying out of a plan pursuant
to Sec. 11(e) of the 1935 Act approved by Commission order entered Oct. 19, 1961, and
enjoining interference with the plan. Order Dec. 1, 1961, approving and enforcing plan.
Pending.
Application filed Nov. 10, 1952. Plan approved and enforced Dec. 11, 1952. Petition filed
Feb. 18, 1963, for an order approving the efforts to locate all stockholders of The North
American Co. as reasonable and releasing jurisdiction over common stock of Union Elec-
tric Company Funds held for distribution to such stockholders. Application was filed
by company with district court and jurisdiction was released by court in order dated
Feb. 18, 1963. Closed.
Application was filed by company with district court and jurisdiction was released by court
in order dated June 6, 1963. Closed.

Supplemental application filed by Commission for an order enforcing the carrying out of
Step V as amended of the Standard Plan pursuant to Sec. 11(e) of the 1935 Act approved
by Commission order of Jan. 19, 1961, and to enjoin interference with carrying out of the
plan. Order Apr. 22, 1961, approving and enforcing plan and reserving jurisdiction to
the court. Pending.

Application filed by Commission for an order enforcing Step I of a plan pursuant to Sec.
11(e) of the 1935 Act as approved by Commission order of Aug. 10, 1960. Commission's
memorandum on its application filed. Brief and supplemental brief filed by John B.
Kelaghan in support of his statement of objections. Order Oct. 21, 1960, enforcing pro-
visions of Step I of plan with the court reserving jurisdiction. Notice of appeal filed Jan.
25, 1961, by Kelaghan from the order of the district court. Stipulation and order Jan. 5,
1961, suspending order of Oct. 21, 1960, pending appeal. Briefs for appellants and Valley
Gas Co., et al., filed. Commission's brief Feb. 23, 1961, served. Judgment by CA-1
Mar. 24, 1961, affirming order of the district court. Pending.