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TABLE 16.-Indictments returned for violation of the acts administered by the Commission, the Mail Fraud Statute (Sec. 1941,

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

Name of principal

defendant

Number

of de-
fendants

U.S. District

Court

4

Talenfeld, Murray A.. 4 Western District Mar. 15, 1960 Secs. 9(a) (2) and 32(a), 1934 Closed.
of Pennsyl-

Act; Sec. 2, 371, 1001, 1341,
vania.

1343 and 2314, Title 18,

U.S.C.
Do.

.do.
Mar. 8, 19612 Sec. 371, Title 18, U.S.C... 1 defendant on nolo contendere plea fined $7,500, given suspended sentence

and placed on probation for a period of 5 years; 2 defendants on pleas
of guilty sentenced to 1 year and placed on probation for 5 years and

fined $10,000 each. Pending as to remaining defendant.
Do.

do.

Secs. 2, 1341, 1343 and 2314, Do.

Title 18, U.S.C. Do. 4 do.

Sec. 5(a) (2), 1933 Act; Secs. Do.

9(a) (2) and 32, 1934 Act;

Sec. 1001, Title 18, U.S.C.
Tellier, Walter F.

7 Eastern District of Aug. 3, 1956 Sec. 17(a), 1933 Act; Secs. 1 defendant arraigned and bail previously set in the amount of $25,000
New York,

371 and 1341, Title 18, continued. Pending.

U.S.C.
Metz, Abraham M.

1

do. Sec. 1621, Title 18, U.S.C... Pending. Tellier, Walter F.

1 Eastern District of Apr. 26, 1956 Sec. 17(a), 1933 Act; Sec. Defendant pleaded not guilty. Pending.
(Consolidated Ura-
New York.

1341, Title 18, U.S.C.
nium Mines, Inc.).
Todd, Douglas M.

5 Southern District Jan. 25, 1961 Secs. 5(a)(1), 17(a)(1), (2) 3 defendants convicted of violating Sec. 17(a); corporate defendant fined
(Platalloy Corp.).
of California.

and (3), 1933 Act; Secs. 2, $11,500 to be paid within 3 years; 1 defendant received 3 years imprison371 and 1341, Title 18, ment, suspended, and placed on probation for 3 years; 1 defendant senU.S.C.

tenced to 1 year and 1 day, execution of which was suspended, and a

probation of 3 years; remaining defendants acquitted.
Van Allen, John (Gulf 20 Southern District Mar. 24, 1960 Secs. 6(a)(1) and (2), 5(c), 6 corporate and io individual defendants pleaded not guilty. 1 defendant
Coast Leaseholds,
of New York.

17 and 24, 1933 Act; Secs. pleaded guilty to all counts; sentencing deferred. Pending.
Inc.).

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

2
..do.
June 16, 1960 Secs. 2 and 1001, Title 18, Dismissal as to 1 defendant June 7, 1962. Pending as to remaining defend-
U.S.O.

ant. Warner, J. Arthur &

11 Massachusetts. July 7,1953 Sec. 17(a)(3), 1933 Act; Secs. Pending. Co., Inc.

371 and 1341, Title 18,

U.S.C.
Wechsler, Nathan

2 District of Co May 25, 1961 Secs. 371, 1341 and 1343, Title Closed.
(Coombs & Co.,
lumbia.

18, U.S.C.
Inc.).
J. A. Winston & Co.,

14 Southern District July 20, 1961 Secs. 5(a)(1), 5(a)(2), 17(a) Various defendants posted bonds ranging from $1,000 to $25,000. Pending.
Inc.
of New York.

and 24, 1933 Act; Secs. 2, 371 and 1341, Title 18,

U.S.C. 1 Information. • Superseding indictment.

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TABLE 17.-Injunction proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1962

Name of principal

defendant

Num-
ber of
defend-
ants

U.S. District

Court

Initiating papers filed

Alleged violations

Status of caso

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2 Southern District Apr. 11, 1960 Secs. 15(c)(1), 15(c)(3) and Complaint fled Apr. 11, 1960. Order entered dismissing action as to both of New York.

Rules 15c1-2 and 15c3-1, defendants, Feb. 5, 1962. Closed.

1934 Act.
3
Aug .18, 1960 Sec. 17(a), 1933 Act.

Complaint filed Aug. 18, 1960. Preliminary injunction entered as to all

defendants, Feb. 17, 1961. Order entered extending defendants' time to

answer complaint to Sept. 17, 1962. Pending. do. Apr. 21, 1961 Sec. 5(b)(1) and (2), 1933 Act. Final judgment by consent as to 2 defendants and order dismissing as to 1

defendant entered June 5, 1961. Final judgment by consent entered Aug.

14, 1961, as to remaining defendant. Closed. 3 -.do.

Aug. 11, 1961 Sec. 10(b), and Rule 10b-5, Complaint filed Aug. 11, 1961. Stipulation extending defendants' time to
1934 Act.

answer to May 4, 1961. Pending.
3 New Mexico. Sept. 1, 1961 Sec. 5(a), 1933 Act.

Complaint filed and temporary restraining order signed Sept. 1, 1961.

Answers filed Sept. 17, and 26, 1961. Order entered Nov. 16, 1961, denying
preliminary injunction and dissolving temporary restraining order.

Pending.
2 Colorado.

Oct. 22, 1959 Sec. 15(c)(3) and Rule Motion by defendant to set aside the stipulation and order entered Dec. 7,
1503-1, 1934 Act.

1959. Order entered June 5, 1962, denying said motion. Pending.
3 District of

Dec. 21, 1960 Secs. 15(c)(1), 15(c)(3) and Complaint and request for the appointment of a receiver filed Dec. 21, 1960.
Columbia.

Rules 15c1-2 and 1503-1, Final judgment by consent as to all defendants entered Dec. 22, 1960,
1934 Act.

Receiver appointed Feb. 27, 1961. Pending. 1 ...do. May 31, 1962 Sec 17(a)(3), 1933 Act. Complaint and request for the appointment of a receiver filed May 31, 1962.

Temporary restraining order signed May 31, 1962. Order appointing

receiver May 31, 1962. Pending.
1 do

Apr. 6, 1961 Sec. 15(c)(3) and Rule Complaint and request for the appointment of a receiver filed Apr. 6, 1961.
1503-1, 1934 Act.

Final judgment by consent entered Apr. 18, 1961. Order entered appoint-
ing a receiver, Apr. 25, 1961. Order entered referring action to the referee
in bankruptcy Sept. 14, 1961. On Oct. 20, 1961, final report of equity
receiver filed. Order entered approving receiver's final account and dis-

charging equity receiver Jan. 10, 1962. Pending as to referee in bankruptcy.
4 Southern District Mar. 22, 1961 Secs. 5(a), 5(c) and 17(a), Summons and complaint filed Mar. 22, 1961. Answer filed by 1 defendant
of New York.

1933 Act.

Apr. 25, 1961. Default judgment as to 3 defendants entered May 31, 1961.

Pending as to 1 defendant.
15 | Maryland.. Aug. 21, 1961 Sec. 5 (a) and (c), 1933 Act.. Summons and complaint filed Aug. 21, 1961. Opinion rendered and order

entered Oct. 31, 1961, enjoining 14 defendants. Plaintiff's motion for

dismissal of action as to 1 defendant granted. Closed. 3 Southern District Feb. 16, 1962 Sec.

15(c)(3) and Rule Complaint filed Feb. 16, 1962. Final judgment by consent as to all of California.

1503-1, 1934 Act.

defendants entered Apr. 12, 1962. Closed. 19 District of Colum- Aug. 16, 1961 Secs. 5 (a) and (c) and 17(a), Complaint filed Aug. 16, 1961. Preliminary injunction entered Aug. 31, bia.

1933 Act.

1961, as to 11 defendants and denied as to 4 defendants. Praecipe for dismissal of action as to 2 defendants filed Oct. 1961. Final judgment by consent as to 5 defendants entered Oct. 30, 1961. Pending.

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TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1962.-Con.

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Southern District Apr. 11, 1962 Sec. 17(a)(1), 1933 Act. Complaint filed Apr. 11, 1962. Preliminary injunctions entered May 3,
of California.

1962, as to 4 defendants and June 18, 1962, as to 1 defendant. Pending.
Maryland.. May 9, 1960 Secs. 17(a) (2) and (3), 1933 Motion for permanent injunction and appointment for a liquidating receiver

Act.

filed and granted Apr. 28, 1961. Order not submitted because other
parties appeared and expressed a desire to take over and rehabilitate
company. Petition under Chapter X filed and approved by court.

Pending.
Minnesota. Apr. 6, 1960 Sec. 17(a) (2), 1933 Act.. Complaint filed Apr. 6, 1960. Final judgment by consent as to both

defendants entered Nov. 17, 1961. Closed.
Colorado.

Mar. 9, 1962 Secs. 5(a) and (c) and 17(a), Complaint filed Mar. 9, 1962. Temporary restraining order, Mar. 9, 1962,

1933 Act; Sec. 10(b) and Answers filed. Final judgment by default as to 1 defendant entered Rule 10b-5, 1934 Act. May 16, 1962. Pending as to remaining defendants.

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2 do June 3, 1960 Sec. 17(a), 1933 Act; Sec. Defaultjudgment as to 1 defendant entered Feb. 20, 1961. Final judgment

10(b) and Rule 10b-5, 1934 as to i defendant entered July 12, 1961. Closed.

Act.
3 District of Colum Dec. 27, 1961 | Secs. 15(C) (3) and 17(a), and Complaint filed Dec. 27, 1961. Final judgment by consent as to all defend-
bia,

Rules 15c3-1, and 17a-3, ants entered Dec. 27, 1961. Closed.

1934 Act.
3 Eastern District Dec. 21, 1959 Sec. 15(c)(3) and Rule 15c3- Receiver appointed Feb. 16, 1960. Final judgment by consent as to all de-
of Virginia.

1, 1934 Act.

fendants entered Apr. 19, 1960. Order entered discharging receiver Jan,

15, 1962. Closed
2 Massachusetts.. Aug. 25, 1961 | Secs. 5(a) and 5(c) 1933 Act. Complaint filed Aug. 25, 1961. Final judgment by consent as to both de-

fendants entered Aug. 25, 1961. Closed.
4 Southern District June 1, 1961 Sec. 17(a), 1933 Act; Secs. Summons, complaint and request for the appointment of a receiver filed
of New York.

10(b), 15(a) and Rule 10b June 1, 1961. Final judgment by consent as to all defendants and order
5, 1934 Act.

appointing a receiver entered June 1, 1961. Pending as to receivership.
3
do
Feb. 15, 1962 Sec. 17(a) and Rule 17a-3, Summons, complaint and request for the appointment of a receiver filed
1934 Act.

Feb. 15, 1962. Preliminary injunction and order appointing a receiver en-
tered Feb. 26, 1962. Answers filed. Order entered May 21, 1962, authoriz-

ing receiver to sell furniture and furnishings. Pending.
2 Southern District Feb. 27, 1961 Sec. 17(a)(3), 1933 Act; Secs. Complaint and request for the appointment of a receiver filed Feb. 27,
of California.

15(c)(1), 15(c)(3) and 1961. Receiver appointed Apr. 10, 1961. Final judgment by consent
Rules 15c1-2, 15c3-1, 1934 entered as to both defendants Dec. 19, 1961. Pending as to receiver.

Act.
4 Southern District Nov. 18, 1960 Secs. 15(c)(3), 17(a) and Summons, complaint and request for the appointment of a receiver filed
of New York.

Rules 15c3-1 and 178-3, Nov. 18, 1960. Receiver appointed. Final judgments by consent
1934 Act.

entered Dec. 2, 1960, as to defendants and Dec. 16, 1960, as to remaining

defendant. Receiver discharged Dec. 5, 1961. Closed. 3 District of Colum- | Aug. 25, 1960 Sec. 17(a) and Rule 17a-3, Complaint filed and preliminary injunction by consent entered Aug. 25 bia.

1934 Act.

1960. Motion for appointment of a receiver filed and receiver appointed Dec. 20, 1960. Receiver's petition for authority to liquidate stock served June 25, 1962. Pending.

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2 Northern District | Sopt. 6, 1961 | Secs. 5(a)(1), 6(a)(2) and Complaint filed and final judgment by consent as to both defendants of Texas.

5(c), 1933 Act.

entered Sept. 6, 1961. Closed. 7 New Mexico. Dec. 14, 1961 Secs. (a), 5(c) and 17(a)(2), Summons and complaint filed Dec. 14, 1961. Final judgments by consent

1933 Act.

entered Dec. 15, 1961, as to 3 defendants; Dec. 22, 1961, as to 1 defendant;
Dec. 29, 1961, as to 1 defendant; Jan. 9, 1962, as to 1 defendant; and Feb.

5, 1962, as to remaining defendant. Closed.
10 Southern District Aug. 3, 1959 Sec. 17(a), 1933 Act.. Preliminary injunction as to 7 defendants entered Dec. 15, 1959. Notice of
of New York.

appeal from the order of preliminary injunction filed by 1 defendant
Jan. 7, 1960. Opinion rendered Oct. 27, 1960, by CA-2 affirming order of

the district court entered Dec. 15, 1959. Pending.
15 .do.
June 30, 1959 Sec. 5, 1933 Act.

Notice of appeal from the order of preliminary injunction filed by 1 defend

ant Jan. 7, 1960. Opinion rendered Oct. 27, 1960, by CA-2 affirming the

order of the district court entered Dec. 15, 1959. Pending.
3 New Jersey. May 21, 1962 Sec. 17(a), 1933 Act..

Summons, complaint and request for the appointment of a receiver filed
May 21, 1962. Temporary restraining order signed May 21, 1962.

Pending.
B Southern District Feb. 6, 1961 Secs. 5(a) and 5(c), 17(a) (2) Complaint filed Feb. 6, 1961. Final judgments by consent entered Feb. 20
of California.

and (3), 1933 Act; Secs. and Mar. 1, 1961, as to 4 defendants. Final judgment by consent as to
10(b), 15(a), 15(c)(i), and the remaining defendant entered June 1, 1962. Closed.
Rules 10b-5 and 15c1-2,

1934 Act.
3 Southern District Aug. 12, 1960 Sec. 17(a), 1933 Act... Summons and complaint filed and temporary restraining order signed
of New York.

Aug. 12, 1960. Notice of dismissal without prejudice as to all defendants

ordered' Mar. 15, 1962. Closed.
1 Montana.. May 28, 1962 Secs. 10(b), 15(c)(1) and Complaint and request for the appointment of a receiver filed May 28, 1962.

15(c)(3), and Rules 10b-5, Final judgment entered and receiver appointed June 4, 1962. Pending.
15c1-2 and 15c3-1, 1934

Act.
4 | Massachusetts. Sept. 22, 1961 Secs. 5(a) and 5(c), 1933 Act-- Complaint filed Sept. 22, 1961. Orders entered Oct. 18, 1961, denying

motion for leave, nunc pro tunc, to file suit, and dismissing complaint.
Appeals filed by the Commission Oct. 18, 1961, from order entered Sept.
18, 1961, denying its motion to intervene in the reorganization proceeding
in order to insure compliance with the regulation provisions of the
1933 Act; and from orders of the district court dated Oct. 18, 1961. Order
by court denying application for temporary stay. Order Feb. 6, 1962,

by CA-1 affirming the district court orders entered Oct. 18, 1961. Closed
26 Western District Dec. 13, 1961 Secs. 5 (a) and (c), 17(a) (1), Complaint filed Dec. 13, 1961. Answers filed. Final judgment by consent
of Oklahoma.

17(a)(2) and 17(a)(3), 1933 as to 2 defendants entered Jan. 29, 1962. Pending.
Act; Sec. 10(b) and Rule

10b-5, 1934 Act.
16 Southern District July 15, 1958 Secs. 5(b) and 17(a), 1933 Receiver appointed July 21, 1958. Final judgment by consent as to 2
of New York.

Act; Secs. 15(C)(1) and defendants entered July 22, 1958. Pending.
(3) and Rules 15c1-2 and

1503-1, 1934 Act.
3 Western District May 1, 1961 Sec. 17(a), 1933 Act; Secs. Complaint and request for the appointment of a receiver filed May 1, 1961.
of Washington,

15(e)(i), 15(c)(3), 17(a) Final judgment by consent as to 3 defendants entered Aug. 15, 1961. By
and Rules 1501-2, 15c1-4, agreement plaintiff can move for appointment of receiver if such action
15c3-1, 178-3 and 178-4, appears warranted. Closed.
1934 Act.

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TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1962—Con.

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9 New Jersey May 1, 1962 Sec. 17(a), 1933 Act.

Complaint filed May 1, 1962. Temporary restraining order signed May 1,

1962. Petition to hold revocation proceeding in abeyance filed May 9,

1962. Pending. 1 Eastern District Apr. 27, 1962 Sec. 5, 1933 Act.

Summons and complaint filed Apr. 27, 1962. Final judgment by consent of New York.

entered Apr. 27, 1962. Closed.
2 District of

May 9, 1960 Secs. 15(c)(1) and 17(a) and Final judgment by consent as to both defendants entered Aug. 31, 1960.
Columbia.

Rules 15c1-2 and 17a-5, Final report of receiver filed with court Sept. 12, 1961. Closed.

1934 Act.
3 Eastern District June 7, 1961 Secs. 5(a) · and 5(c), 1933 Complaint filed June 7, 1961. Default judgment entered Jan. 29, 1962, as to
of Washington.

Act.

all defendants. Closed.
2 Northern District May 22, 1962 Secs. 5(a) and 5(c), 1933 Act. Complaint filed May 22, 1962. Final judgment by consent as to both de-
of Illinois.

fendants entered June 7, 1962. Closed.
4 Southern District Oct. 16, 1958 Secs. 17(a)(2), 17(a)(3), 1933 Final judgment entered as to all defendants and receiver appointed Oct. 16,
of Texas.

Act; Secs. 15(c)(1), 15(c) 1958. Order approving final report and discharging receiver filed.

(3), and 10(b), 1934 Act. Closed
24 Southern District Sept. 23, 1958 Secs. 5(a)(1) and (2), 17a Final judgment by consent as to 3 defendants entered Nov. 24, 1958. Under-
of New York.

(1), (2) and (3) and 17(b), taking filed as to 1 defendant, June 1959. Pending.
1933 Act; Sec. 10(b), 1934

Act.
Nov. 17, 1960 Sec. 206(1) and (2), Inv. Complaint filed Nov. 17, 1960. Opinion rendered denying motion for pre-
Adv. Act of 1940.

liminary injunction. Notice of appeal filed Apr. 1961, by Commission

from the order of the district court denying motion for preliminary in

junction. Pending.
3
New Jersey July 18, 1961 | Secs. 5(a) and 5(c) and 17(a), Summons and complaint filed July 18, 1961. Final judgment by consent

1933 Act.

as to all defendants entered July 19, 1961. Closed.
7 Southern District June 19, 1961 Secs. 5(a), 5(c) and 17(a), Complaint filed June 19, 1961. Preliminary injunction as to 7 defendants
of New York.

1933 Act.

entered Sept. 18, 1961. Final judgment by consent as to 1 defendant

entered Apr. 23, 1962. Pending. 2 New Jersey. June 30, 1960 Secs. 15(c)(1), 15(c)(3) and Order of preliminary injunction as to both defendants signed July 21, 1960.

17(a) and Rules 15c1-2, Order denying defendants' application to vacate preliminary injunction

1503-1 and 17a-3, 1934 Act. entered July 21, 1960. Pending. 2 Colorado.

May 1, 1962 Secs. 15(c)(1), 15(c)(3), and Complaint and request for the appointment of a receiver filed May 1, 1962.

17(a) and Rules 15c1-2, Final judgment by consent as to both defendants entered May 25, 1962.
1563-1 and 178-3, 1934 Act. Stipulation recommending that appointment of receiver be held in abey-

ance pending compliance of said stipulation. Pending.
Apr. 25, 1961 Sec. 17(a)(2) and (3), 1933 Complaint and request for the appointment of a receiver flled Apr. 25, 1961.
Act.

Final judgment by consent entered as to all defendants May 2, 1961.

Order entered Dec. 6, 1961, appointing a receiver. Pending.
3 Utah...

Oct. 9, 1957 Sec. 6(a)(1) and (2), and Final judgment by consent as to 2 defendants entered Nov. 13, 1957.
5(e), 1933 Act.

Pending as to remaining defendant.
4 Southern District Apr. 12, 1961 Sec. 10(b) and Rule 10b-5, Summons and complaint filed Apr. 12, 1961. Preliminary injunction
of New York.

1934 Act.

entered as to 3 defendants Apr. 28, 1961, and as to remaining defendant May 8, 1961. Pending.

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