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Gilbert, Edward M.

1

Southern District

Aug. 19, 19572
June 28, 1962

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2

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Southern District of Florida.

Sept. 19, 1961
Aug. 2, 1961

Co.).

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Secs. 5(a) and 17(a)(1), 1933

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

Secs. 5(a) (1), 17(a) and 24,
1933 Act; Secs. 16(a), 32,
and 32(a), 1934 Act; Secs.
2, 1341, 1343 and 2314,
Title 18, U.S.C.
Sec. 17(a), 1933 Act; Secs.

371 and 1341, Title 18,
U.S.C.

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

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

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

Sec. 371, Title 18, U.S.C......

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

1 defendant pleaded guilty to 2 mail fraud counts and the conspiracy count;
sentenced to 1 year on each count to run consecutively with sentence on
last 2 counts suspended; 5 years probation to begin at end of time served.
Pending.

Closed.

Judgment of acquittal as to 3 defendants. Pending as to remaining
defendant.

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Pleas of not guilty entered by defendants and bond set for $1,000 each.
Various motions filed. Pending.

2 defendants convicted and sentenced to 3 years imprisonment on 4 counts of
the indictment; 1 defendant pleaded guilty to 1 Sec. 17(a) count and
sentenced to 1 year, suspended, placed on probation and fined $500;
another defendant dismissed; 2 defendants appealed from their convic-
tions. Pending.

Judgments of guilty were entered as to 20 defendants; 16 as to 1 Sec. 5(a)
count and 4 defendants as to 1 Sec. 17(a) count; 5 other defendants pleaded
guilty; 4 to 2 mail fraud counts and 1 to 1 Sec. 17(a) count. Sentences
imposed on 20 defendants ranging from 1 year to 81⁄2 years with various
conditions for probation as to some defendants. Remaining defendants
awaiting sentences. 1 defendant dismissed; 3 defendants deceased.
Pending.
Dismissed as to defendant who entered guilty plea on perjury indictment.
Pending.

Motion by defendants to dismiss both indictments denied Jan. 15, 1962.
Pending.

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Secs. 5(a) (1), 5(a)(2), 17(a), Defendants pleaded not guilty. Pending.

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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.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

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Pending.

Guilty pleas filed as to 4 defendants; sentencing deferred; pending trial a to remaining defendants. Pending.

Pending.

Both defendants arraigned and 1 pleaded guilty; other not guilty. Pending.

6 Southern District Sept. 14, 1961 Secs, 5(a) (1) and 24, 1933 Pending. of New York.

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6 Colorado

Corp.).

Lincoln Securities

21

Corp.

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Do.

Sentencing imposed on 12 defendants ranging from 18 months to 2 years with various conditions for probation as to some defendants, fines from $1,000 to $3,500; 4 defendants dismissed and 1 deceased. Pending. Pending.

Defendants arraigned and pleaded not guilty. Motion for dismissal as to 1 defendant filed Jan. 16, 1962. Order entered denying said motion Mar. 5, 1962. Pending.

Pending.

Do.

1 defendant pleaded guilty on 2 Sec. 17(a) counts; sentenced to 1 year on
each count to run concurrently; execution suspended and placed on pro-
bation for 3 years following present incarceration on a mail fraud con-
viction; indictment dismissed as to 2 defendants. Pending.

12 defendants found guilty and received sentences ranging from 30 days to
30 months; 2 defendants fined $5,000 each; 1 defendant appealed from his
conviction. Pending.

Pending.

Appeal filed. Opinion rendered affirming convictions of district court. Pending.

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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 year-Continued

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Defendant pleaded guilty to count 5 of Sec. 24 and Rules 255(a), 256 (f) of the 1933 Act; given 2 years suspended sentence plus 3 years probation. Pending.

Powis, Francis Alger-
non Gaylord (A. G.
Powis & Co., Ltd.).
Prettyman, L. Travers
(Thunderbird De-
velopment Corp.).

Price, Daniel (Na-
tional Electro
Process Corp.).
Pruett, Carl A.

(Pruett & Co., Inc.).

Re, Gerardo A. (Re,
Re and Sagarese,
Swan-Finch Oil
Corp.).

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Bench warrants issued on all defendants with the exception of corporate defendants, and bonds in the amount of $10,000 set for each defendant. Order entered dismissing 1 defendant Nov. 8, 1961. Pending.

1 defendant pleaded guilty to 3 counts of the indictment charging violations of Sec. 5 of 1933 Act; remaining defendant found guilty on 23 counts of indictment for violations of Secs. 5 and 17 of 1933 Act, Mail Fraud and Conspiracy Statutes; remaining counts dismissed. Pending. Pending.

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Sec. 17(a), 1933 Act; Secs.
206(1) 206 (2) of Inv. Adv.
Act of 1940; Sec. 1341,
Title 18, U.S.C.

Sec. 17(a)(2), 1933 Act; Sec.
9(a) (2), 1934 Act; Sec. 371,
Title 18, U.S.C.

Sec. 17(a) (1), 1933 Act; Sec.
32, 1934 Act; Sec. 1341,
Title 18, U.S.C.

May 26, 1960 Secs. 5(a)(2), 17(a) (1), 1933
Act; Sec. 1341, Title 18,
U.S.C.

Defendant sentenced to 34 years imprisonment on plea of guilty to 1 Sec. 17(a) count.

CA-2 sustained defendant's conviction on all but 3 counts; court modified sentence and placed defendant on probation. Pending.

Petition for writ of certiorari to review the judgment of CA-5 filed June 19,
1961. Denied Oct. 9, 1961. 2 defendants found guilty on April 27, 1962,
on counts 15-19 charging violations of the registration provisions of the 1933
Act; Corporate defendant fined $15,000 and individual defendant sen-
tenced to 4 years on each count 15 and 17; imposition of remaining counts
suspended and placed on probation for a period of 5 years. Appeal filed
from the judgment of the district court May 2, 1962. Pending.

CA-7 affirmed counts 3 and 6 of Sec. 17(a) and counts 11 and 12 of Sec. 5(a)
of 1933 Act; reverese 6 counts of Sec. 17(a) and remanded counts 4 and 5
of Sec. 17(a) for a new trial. Pending.

Defendant pleaded guilty on all counts of indictment and sentenced to 10 years imprisonment.

1 defendant deceased; other defendants awaiting trial. Pending.

1 defendant previously convicted; other defendant apprehended on Apr. 25,
1961, and released on $10,000 bond. Pending.
Closed.

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Seybold, George

1

Eastern District

July 18, 1961

Robert.

of Michigan.

Schindler, David L.

4

Southern District
of New York.

June 28, 1957

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Sec. 371, Title 18, U.S.C...

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

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

CA-9 reviewed conviction of 2 defendants and remanded the case for a new
trial. 1 defendant on plea of nolo contendere sentenced to 3 years, sus-
pended and placed on probation for 3 years. Another defendant pleaded
nolo contendere. Pending.

1 defendant deceased; 2 defendants are still fugitives and remaining de-
fendants awaiting trial. Pending.

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