Imágenes de páginas
PDF
EPUB

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

[merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][ocr errors][merged small][subsumed][merged small][merged small][merged small][merged small][merged small][merged small][ocr errors][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small]

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

[merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][ocr errors][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][ocr errors][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small]

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

Name of principal defendant

Number of defendants

U.S. District Court

Indictment returned

Charges

Status of case

Apr. 3, 1961 Secs. 5(a) (1) and 5(a) (2), 1 defendant deceased. Pending. 1933 Act; Sec. 371, Title 18, U.S.C.

Northern District May 16, 1960 Secs. 5(a) (2), 5(c) and 17(a), Appeal filed Feb. 21, 1961, from the conviction of 6 defendants. Pending. of Texas. 1933 Act; Secs. 371 and 1341, Title 18, U.S.C.

Mar. 14, 1960 Secs. 5(a) (1) and (2), 1933 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

[blocks in formation]

Southern District of New York.

Addison, John Milton.

10

[blocks in formation]

Jan. 23, 1958

tional Union Life In

of Florida.

[blocks in formation]

Secs. 5(a)(2), 17(a), 1933
Act; Sec. 1341, Title 18,
U.S.C.

Secs. 5(a) (1) and (2) and
17(a)(1), 1933 Act; Secs.
371, 1341 and 1343, Title
18, U.S.C.

Sec. 10(b). Rule 10b-5, 1934
Act.

Sec. 17(a) (1), 1933 Act; Sec.
371, Title 18, U.S.C.

Sec. 17(a), 1933 Act; Sec.
1341, Title 18, U.S.C.

Secs. 5(a), 5(c), 17(a) and 24, 1933 Act; Secs. 2, 1341 and 2314, Title 18, U.S.C. Sec. 17(a), 1933 Act; Secs. 1341 and 2314. Title 18, U.S.C.

All defendants arraigned; pleaded not guilty and posted bonds. Pending.

Defendant apprehended and released on $25,000 bond. Pending.

Defendants' petition for rehearing on Government's petition for writ of
mandamus dismissed, July 5, 1961. 1 defendant pleaded nolo contendere
and found guilty on all counts of indictment and fined $5,000; remaining
defendants dismissed.
Information filed against 2 defendants, both pleaded guilty and fined $5,000
each.

Remaining defendant dismissed, Aug. 3, 1961.

1 defendant pleaded guilty to count 6 charging a violation of the Mail Fraud statute; imposition of sentence deferred and placed on probation for 5 years. Indictment dismissed as to remaining defendant. Pending.

Do.

[graphic]

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 year-Continued

[blocks in formation]
[blocks in formation]

$10,000 bond set for 5 defendants. 1 defendant deceased and 1 defendant a fugitive. Pending.

1 defendant pleaded guilty to 3 counts of mail fraud, 3 Sec. 17 (a) counts and
conspiracy count. Pending.

Plea of not guilty entered as to 2 defendants. Pending.

[graphic]
[blocks in formation]

2

Massachusetts..

Mar. 2, 1960

[blocks in formation]

23

[blocks in formation]
[blocks in formation]

Secs. 17(a)(1). 1933 Act; Secs. 371 and 1341. Title 18, U.S.C. 9 Northern District Sept. 17, 1959 Sec. 17(a), 1933 Act; Sec. of Georgia. 1341, Title 18, U.S.Ć. Southern District May 31, 1961 Secs. 5(a) (1), 5(a)(2), 5(c) of Florida.

and 17(a), 1933 Act; Secs. 371 and 1341, Title 18, U.S.C.

Rule 10b-5, 1934 Act.

[blocks in formation]

Case transferred to WD of Oklahoma. 1 defendant pleaded guilty, sus-
pended imposition of sentence and placed on probation for a period of 5
years. Pending.

Notice of appeal filed by 1 of the 3 defendants convicted. Decision rendered
by CA-5 affirming conviction of district court. Petition for writ of
certiorari filed. Pending.

11 defendants pleaded guilty and 1 defendant pleaded nolo contendere, 1
defendant was sentenced to 2 years imprisonment, suspended and put
on probation; fines ranging from $200 to $36,000 were imposed as to some
of the defendants. Pending

Closed.

Do.
Do.
Pending.

2 defendants each sentenced to 3 years on their guilty pleas to Sec. 17 counts. Remaining defendants dismissed.

Sept. 28, 1961 Secs. 9(a)(2), 10(b), 32(a) Closed.
and Rule 10b-6, 1934 Act;
Secs. 2 and 371, Title 18,
U.S.C.

do.

Nov. 30, 1961

do.

Jan. 11, 19621

...do.

Jan. 12, 1962

do.

Feb. 26, 1962

[blocks in formation]

Southern District of New York.

[blocks in formation]
[blocks in formation]

July 30, 1958 Secs. 5(a) (1), 5(a) (2) and 24,
1933 Act; Secs. 371, 1341
and 1343, Title 18, U.S.C.
Oct. 8, 1958 Secs. 5(a) (1), 5(a) (2) and 24,
1933 Act; Secs. 2, 371, 1341
and 1343, Title 18, U.S.C.
Sept. 17, 1959 Sec. 17(a) (1), 1933 Act; Sec.
1341, Title 18, U.S.C.

Southern District May 18, 1960 Secs. 5(a)(1), 5(a)(2), 5(c)

Mar. 1, 1961 2

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

Order entered dismissing indictment as to 4 defendants. Notice of appeal
filed from the order entered Feb. 14, 1962, dismissing as to 1 defendant.
Pending.

Order entered dismissing indictment as to 3 defendants. Notice of appeal
filed from the court's order of Feb. 14, 1962, dismissing 1 defendant.
Pending.
Closed.

Notice of appeal filed by 8 defendants. Opinion by CA-2 affirming the
judgments of convictions of 4 defendants, reversing conviction and dis-
missing indictment as to remaining defendants.

One defendant deceased. All other defendants arraigned and pleaded not
guilty; 1 defendant changed plea to guilty to 1 mail fraud count and 1
Sec. 17(a) count and sentenced to 4 years. Pending.

Closed.

2 defendants found guilty on Sec. 17(a) of 1933 Act and Sec. 1341, Title 18,
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.

[graphic]

See footnotes at end of table.

[graphic]

Status of case

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 year-Continued

Charges

[blocks in formation]

Sec. 10(b), 1934 Act and
Rule X-10b-5.

Secs. 17(a) and 24, 1933 Act;
Secs. 2, 371 and 1341, Title
18 U.S.C.

Secs. 5(a)(2), 17(a), 1933

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

Defendant pleaded nolo contendere and was sentenced to pay a fine of $500. Pending.

Defendants apprehended; bonds set at $5,000 each. Pending.

Secs. 17(a) (1) and (2), 1933 Defendant posted $20,000 bond and pleaded not guilty. Pending. 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.

Sec. 17(a) (1), 1933 Act; Closed. Secs. 371 and 1341, Title 18, U.S.C.

Sec. 17(a), 1933 Act; Secs. 1341 and 1343, Title 18, U.S.C.

Secs. 17(a) and 24, 1933 Act;
Secs. 10(b), 32 and Rule
10b-5, 1934 Act; Sec. 1341,
Title 18, U.S.C.
Secs. 5(a(2) and 17(a), 1933
Act; Secs. 371 and 1341,
Title 18, U.S.C.

Secs. 5(a) (2) and 17(a), 1933
Act.

Secs. 5(a) (1) and 24, 1933
Act; Secs. 9(a)(2), 9(a) (6)
and 32(a), 1934 Act; Secs.
2 and 371, Title 18, U.S.C.

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. Defendant pleaded guilty and sentenced to 8 years imprisonment on 4 mail fraud counts, all to run consecutively, with an additional sentence of 3 years each on 13 counts charging securities fraud, mail fraud and interstate fraud by wire to run concurrently with the mail fraud counts; remaining counts dismissed. Both defendants pleaded guilty on 1 Sec. 17 count. Pending sentencing.

Both defendants pleaded not guilty and posted bond of $3,000 each.
Motions for dismissal of indictment filed Apr. 18, 1962, and denied June
29, 1962. Pending.

Defendant found guilty on 5 Sec. 17 counts and 1 Sec. 5 count and sentenced
to 10 years, 4 of which were suspended, and fined $5,000. Appeal pending.
8 defendants pleaded guilty and sentencing deferred. Pending.

[graphic]
[blocks in formation]

do..

Ficken, Wilbur H.

1

Northern District of Ohio.

Dec. 13, 1961

[blocks in formation]

Dec. 8, 1961

[blocks in formation]
« AnteriorContinuar »