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TABLE 14.--Summary of cases instituted in the courts by the Commission under

the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Investment Company Act of 1940, and the Investment Advisers Act of 1940

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TABLE 15.-Summary of cases instituted against the Commission, cases in which

the Commission participated as intervenor or amicus curiae, and reorganization cases on appeal under Chapter X in which the Commission participated

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TABLE 16.-Indictments returned for violation of the acts administered by the Commission, the Mail Fraud statute (Scc. 1341,

formerly Sco. 338, Title 18, U.8.0.), and other related Federal statutes (where the Commission took part in the investigation and development of the case) which were pending during the 1962 fiscal year

Name of principal

defendant

Number

of de-
fendants

U.S. District

Court

Indictment
returned

Charges

Status of case

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Apr. 3, 1961 Secs. 5(a)(1) and 5(a)(2), | 1 defendant deceased. Pending.

1933 Act; Sec. 371, Title 18,

U.S.C.
May 16, 1960 Secs. 5(a)(2), 5(c) and a), Appeal filed Feb. 21, 61, from the conviction of 6 defendants. Pending.

1933 Act; Secs. 371 and

1341, Title 18, U.S.C.
Mar. 14, 1960 Secs. 5(a)(1) and (2), 1933 All defendants arraigned; pleaded not guilty and posted bonds. Pending.

Act; Secs. 9(a)(2), 16(a)
and 32(a), 1934 Act; Secs.
2, 371 and 1621, Title 18,

U.S.C.
Nov. 2, 1961 Secs. 5(a)(2), 17(a), 1933 Defendant apprehended and released on $25,000 bond. Pending.

Act; Sec. 1341, Title 18,

U.S.C.
Jan. 23, 1958 Secs. 5(a) (1) and (2) and Defendants' petition for rehearing on Government's petition for writ of

17(a)(1). 1933 Act; Secs. mandamus dismissed, July 5, 1961. 1 defendant pleaded nolo contendere
371, 1341 and 1343, Title and found guilty on all counts of indictment and fined $5,000; remaining
18, U.S.C.

defendants dismissed.
July 5, 1961 Sec. 10(b), Rule 10b-5, 1934 Information filed against 2 defendants, both pleaded guilty and fined $5,000
Act.

each.
May 14, 1957 Sec. 17(a)(1), 1933 Act; Sec. Remaining defendant dismissed, Aug. 3, 1961.

371, Title 18, U.S.C.
Aug. 24, 1961 Sec. 17(a), 1933 Act; Sec. 1 defendant pleaded guilty to count 6 charging a violation of the Mail
1341, Title 18, U.S.C. Fraud statute; imposition of sentence deferred and placed on probation

for 5 years. Indictment dismissed as to remaining defendant.
Feb. 20, 1962 Secs. 5(a), 5(c), 17(a) and 24, Pending.

1933 Act; Secs, 2, 1341 and

2314, Title 18, U.S.C. Jan. 24, 1962 Sec. 17(a). 1933 Act; Sers.

Do. 1311 and 2314, Title 18, U.S.C.

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TABLE 16.—Indictments returned for violation of the acts administered by the Commission, the Mail Fraud Statute (Sec. 1341,

formerly Sec. 338, Title 18, U.S.C.), and other related Federal statutes (where the Commission took part in the investigation and development of the case) which were pending during the 1962 fiscal yearContinued

Name of principal

defendant

Number

of de-
fendants

Status of case

Berman, Charles E.

(Cornelis De Vroedt

Co.).
Bernstein, Albert (J.

A. Winston & Co.).
Bernstein, Albert (J.

A. Winston & Co.).
Birrell, Lowell M.

(Doeskin Products, Inc.).

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25 Southern District Dec. 2, 1958 Sec. 17(a), 1933 Act; Secs. Opinion filed denying motions of 3 defendants for severance and granting of New York.

371, 1341 and 1343, Title 18, limited inspection and certain particulars. Pending.

U.S.O. do.

Oct. 3, 1961 Sec. 371, Title 18, U.S.C.. Pending.
do.

Jan. 15, 1962 Sec. 371, Title 18, U.S.C.. Do.
16 do

Mar. 1, 1961 Secs. 17(a) and 24, 1933 Act; 4 individual defendants and 2 corporate defendants pleaded guilty to various

Secs. 10(b) 32(a) and Rule counts of the indictment; another defendant pleaded to an information
100-5, 1934 Act; Secs. 2, charging violations of Sec. 10(b) of the 1934 Act. Pending.
1341 and 2314, Title 18,

U.S.C.
1 ----.do

Apr. 17, 19611 Sec. 10(b) and Rule 105-5, Defendant pleaded guilty.

1934 Act. do.

Oct. 5, 1961 Sec. 371, Title 18, U.S.O.. Pending.

4

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1 Northern District Aug. 31, 1960 Secs. 5(a) (2), 17(a) (1), 1933 Closed. of Georgia.

Act; Sec. 1341, Title 18,

U.S.O. 7 do.

Mar. 5, 19622 Secs. 5(a) (2), 17(a), 1933 Act; Pending.

Secs. 371 and 1341, Title

18, U.S.C.
5 Western District July 17, 1947 secs. 5(a) (1) and (2) and

Do.
of New York.

17(a) (1), 1933 Act; Secs. 371 and 1341, Title 18,

U.S.C. 6 Southern District Feb. 26, 1962 Secs. 5(a) (2), 17(a). 1933 Act; Pending. of Florida.

Secs. 371 and 1341, Title 18,

U.S.O.
6 Northern District Apr. 22, 1960 Sec. 17(a), 1933 Act; Secs. $10,000 bond set for 5 defendants. 1 defendant deceased and 1 defendant a
of Texas.

371 and 1341, Title 18, fugitive. Pending.

U.S.C.
6 Western District Mar. 28, 1961 Sec. 17(a), 1933 Act; Secs. 1 defendant pleaded guilty to 3 counts of mail fraud, 3 Sec. 17(a) counts and
of Washington.

371 and 1341, Title 18, conspiracy count. Pending.

U.S.C.
5 Alaska.

Mar. 29, 1962 Secs. 5(a) (2) and 17(a), 1933 Plea of not guilty entered as to 2 defendants. Pending.

Act; Secs. 371 and 1341,

Title 18 U.S.O.
2 Southern District | May 23, 1962 Sec. 17(a), 1933 Act..

Pending. of California.

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1

Do.

Ohapman, Frederiok

Southern District Fob.

6, 1961 Seos. 17(a), 1933 Act; Soc. 2. Closed. L. (Barrett Herrick of New York,

Title 18, U.S.C. & Co., Inc.). Charney, David B.

3 Southern District June 21, 1962 Sec. 1621. Title 18. U.S.O.-- Pending. (Trans Continental

of New York,
Industries, Inc.).
Clark, William..
2 Massachusetts Mar. 2, 1960 Secs. 17(a)(1). 1933 Act; Case transferred to WD of Oklahoma. 1 defendant pleaded guilty, sus-

Secs. 371 and 1341. Title pended imposition of sentence and placed on probation for a period of 5
18, U.S.C.

years. Pending.
Cohen, Leon Allen

9 Northern District Sept. 17, 1959 Sec. 17(a). 1933_Act; Sec. Notice of appeal filed by 1 of the 3 defendants convicted. Decision rendered
(Continental Under-
of Georgia.

1341. Title 18, U.S.O. by CA-5 affirming conviction of district court. Petition for writ of
writers, Inc.).

certiorari filed. Pending.
Columbus Rexall

23 Southern District May 31, 1961 Secs. 5(a)(1), 5(a)(2), 6(e) 11 defendants pleaded guilty and 1 defendant pleaded nolo contendere, 1
Consolidated Mines
of Florida.

and 17(a), 1933 Act; Secs. defendant was sentenced to 2 years imprisonment, suspended and put Co.

371 and 1341, Title 18, on probation; fines ranging from $200 to $36,000 were imposed as to some
U.S.C.

of the defendants. Pending
Vidalakis, Nick S.

do.
Nov. 30, 1961 Rule 10b-5, 1934 Act.

Closed.
Cayias, William J.

do.
Jan. 11, 1962 do.

Do.
Cromer, L. L.

do.

Jan. 12, 1962 Rule 10.6(3), 1934 Act.
Corrigan, Herbert E.

do.

Feb. 26, 1962 Sec. 17(a), 1933 Act. Sec. Pending. (Insured Mortgage

1341, Title 18 U.S.C. & Title Corp.). Crane, John Joseph

4 Middle District Jan. 31, 1961 Sec. 17(a)(1), 1933 Act; Secs. 2 defendants each sentenced to 3 years on their guilty pleas to Sec. 17 counts. (Southern Investof Georgia.

371 and 1341, Title 18, Remaining defendants dismissed.
ment and Finance

U.S.C.
Corp.).
Cromer, Lyman L.

11 Utah.

Sept. 28, 1961 Secs. 9(a)(2), 10(b), 32(a) Closed. (Columbus Rexall

and Rule 10b-6, 1934 Act; Oil Co.).

Secs. 2 and 371, Title 18,

U.S.C.
Do.
10 do

Nov. 8, 1961 Secs. 9(a)(1), 9(a)(2), 10(b) Order entered dismissing indictment as to 4 defendants. Notice of appeal

and 32(a), 1934 Act; Sec. filed from the order entered Feb. 14, 1962, dismissing as to 1 defendant.
371, Title 18, U.S.C.

Pending.
Columbus Rexall Oil

.do.

Nov. 8, 1961 | Secs. 20, 32(a), 1934 Act; Order entered dismissing indictment as to 3 defendants. Notice of appeal
Company.

Secs. 2 and 371, Title 18, filed from the court's order of Feb. 14, 1962, dismissing 1 defendant.
U.S.C.

Pending.
Crosby, Francis Peter 11 Southern District July 30, 1958 Secs. 5(a)(1), 5(a)(2) and 24, Closed.
(Texas-Adams Oil
of New York.

1933 Act; Secs. 371, 1341
Co.),

and 1343, Title 18, U.S.C.
Do.
12 do

Oct. 8, 1958 Secs. 5(a) (1), 5(a)(2) and 24, Notice of appeal filed by 8 defendants. Opinion by CA-2 affirming the

1933 Act; Secs, 2, 371, 1341 judgments of convictions of 4 defendants, reversing conviction and dis

and 1343, Title 18, U.S.C. missing indictment as to remaining defendants. Curtis, Lee A., Jr.

8 Northern District Sept. 17, 1959 Sec. 17(a)(1), 1933 Act; Sec. One defendant deceased. All other defendants arraigned and pleaded not (Greater Georgia of Georgia.

1341, Title 18, U.S.C.

guilty; 1 defendant changed plea to guilty to 1 mail fraud count and 1
Investment Corp.).

Sec. 17(a) count and sentenced to 4 years. Pending.
Denner, Robert M.

5 Southern District May 18, 1960 Secs. 5(a)(1), 5(a)(2), 5(c) Closed.
(DuPont Mortgage
of Florida.

and 17(a)(1), 1933 Act; Sec.
Co.).

1341, Title 18, U.S.C.
Do.

5 .do.

Mar. 1, 1961 2 Sec.17(a), 1933 Act; Secs. 371 2 defendants found guilty on Sec. 17(a) of 1933 Act and Sec. 1341, Title 18,
and 1341, Title 18, U.S.C. U.S.C.; 1 defendant sentenced to 3 years, suspended after 3 months

followed by probation for 2 years and 9 months and fined $1,500; the other

defendant fined $1,000 and placed on probation for 3 years. Pending. See footnotes at end of table.

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TABLE 16.—Indictments returned for violation of the acts administered by the Commission, the Mail Fraud Statute (Sec. 1341,

formerly Sec. 338, Title 18, U.S.O.), and other related Federal statutes (where the Commission took part in the investigation and development of the case) which were pending during the 1962 fiscal year-Continued

Name of principal

defendant

Indictment
returned

Charges

Status of case

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Sec. 10(b), 1934 Act and Defendant pleaded nolo contendere and was sentenced to pay a fine of $500.

Rule X-10b-5.
Secs. 17(a) and 24, 1933 Act; Pending.

Secs. 2, 371 and 1341, Title

18 U.S.O.
Secs. 5(a)(2), 17(a). 1933 Defendants apprehended; bonds set at $5,000 each. Pending.

Act; Sec. 1341. Title 18,
U.S.C.

June 14, 1961

Defendant posted $20,000 bond and pleaded not guilty. Pending.

May 28, 1962

Secs. 17(a) (1) and (2), 1933

Act; Secs. 1341 and 2314,

Title 18, U.S.C.
Secs. 2, 371 and 2314, Title

18, U.S.C.
Secs. 5(a) and 17(a)(2), 1933

Act.

Pending.
Defendant pleaded nolo contendere and sentenced to 3 years probation.

Mar. 16, 1961

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Mar. 8. 1961 Sec. 17(a)(1), 1933

Act; Closed.
Secs. 371 and 1341, Title

18, U.S.C.
Dec. 20, 1961 ..do.

2 defendants found guilty on 32 counts of indictment; 1 defendant sentenced

to a total of 10 years and fined $86,500; other defendant sentenced to a total

of 4 years and fined $52,000. Both defendants appealed. Pending.
Dec. 13, 1961 Sec. 17(a), 1933 Act; Secs. Defendant pleaded guilty and sentenced to 8 years imprisonment on 4 mail

1341 and 1343, Title 18, fraud counts, all to run consecutively, with an additional sentence of 3
U.S.C.

years each on 13 counts charging securities fraud, mail fraud and inter-
state fraud by wire to run concurrently with the mail fraud counts; re-

maining counts dismissed.
Oct. 31, 1961 Secs. 17(a) and 24, 1933 Act; Both defendants pleaded guilty on 1 Sec. 17 count. Pending sentencing.

Secs. 10(b), 32 and Rule
10b-5, 1934 Act; Sec. 1341,

Title 18, U.S.C.
Dec. 8, 1961 Secs. 5(a(2) and 17(a), 1933 Both defendants pleaded not guilty and sted bond of $3,000 each.

Act; Secs. 371 and 1341, Motions for dismissal of indictment filed Apr. 18, 1962, and denied June
Title 18, U.S.C.

29, 1962. Pending.
Jan. 7,1960 Secs. 5(a) (2) and 17(a), 1933 Defendant found guilty on 5 Sec. 17 counts and 1 Sec. 5 count and sentenced
Act.

to 10 years, 4 of which were suspended, and fined $5,000. Appeal pending.
July 14, 1961 secs. 5(a)(1) and 24, 1933 8 defendants pleaded guilty and sentencing deferred. Pending.

Act; Secs. 9(a)(2), 9(a)(6)
and 32(a), 1934 Act; Secs.
2 and 371, Title 18, U.S.C.

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