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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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3 defendants convicted of violating Sec. 17(a); corporate defendant fined
$11,500 to be paid within 3 years; 1 defendant received 3 years imprison-
ment, suspended, and placed on probation for 3 years; 1 defendant sen-
tenced to 1 year and 1 day, execution of which was suspended, and a
probation of 3 years; remaining defendants acquitted.

6 corporate and 10 individual defendants pleaded not guilty. 1 defendant
pleaded guilty to all counts; sentencing deferred. Pending.

Dismissal as to 1 defendant June 7, 1962. Pending as to remaining defend-
Pending.

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Secs. 5(a) (1), 5(a)(2), 17(a) Various defendants posted bonds ranging from $1,000 to $25,000. Pending.
and 24, 1933 Act; Secs. 2,

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

Status of case

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

defendants, Feb. 5, 1962. Closed.

Complaint filled 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.

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.

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.do.

Rules 15c1-2 and 15c3-1,
1934 Act.

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

International Corp.

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Aug. 11, 1961

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Sec. 15(c) (3) and
15c3-1, 1934 Act.

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

Sec. 5(a), 1933 Act..

Rule

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

Sec 17(a) (3), 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.

Motion by defendant to set aside the stipulation and order entered Dec. 7,
1959. Order entered June 5, 1962, denying said motion. Pending.
Complaint and request for the appointment of a receiver filed Dec. 21, 1960.
Final judgment by consent as to all defendants entered Dec. 22, 1960.
Receiver appointed Feb. 27, 1961. Pending.

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.

Rule Complaint and request for the appointment of a receiver filed Apr. 6, 1961.
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.
Secs. 5(a), 5(c) and 17(a), Summons and complaint filed Mar. 22, 1961. Answer filed by 1 defendant
1933 Act.
Apr. 25, 1961. Default judgment as to 3 defendants entered May 31, 1961.
Pending as to 1 defendant.
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.

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Sec. 15(c)(3) and Rule
15c3-1, 1934 Act.

Inc.

American Orbitronics Corp.

19

District of Colum- Aug. 16, 1961 bia.

Complaint filed Feb. 16, 1962. Final judgment by consent as to all
defendants entered Apr. 12, 1962. Closed.

Secs. 5 (a) and (c) and 17(a), Complaint filed Aug. 16, 1961. Preliminary injunction entered Aug. 31,
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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District of Colum- Dec. 27, 1961 bia.

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Dec. 21, 1959

Arlee Associates, Inc..

Aug. 25, 1961
June 1, 1961

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

Sec. 15(c) (3) and Rule 15c3-
1, 1934 Act.

Secs. 5(a) and 5(c) 1933 Act.
Sec. 17(a), 1933 Act; Secs.
10(b), 15(a) and Rule 10b-
5, 1934 Act.
Feb. 15, 1962 Sec. 17(a) and Rule 17a-3,
1934 Act.

Feb. 27, 1961 Sec. 17(a) (3), 1933 Act; Secs.
15(c)(1), 15(c) (3) and
Rules 15c1-2, 15c3-1, 1934
Act.
Nov. 18, 1960 Secs. 15(c) (3), 17(a) and
Rules 15c3-1 and 17a-3,
1934 Act.

3 District of Colum- Aug. 25, 1960 bia.

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

Complaint filed Apr. 11, 1962. Preliminary injunctions entered May 3,
1962, as to 4 defendants and June 18, 1962, as to 1 defendant. Pending.
Motion for permanent injunction and appointment for a liquidating receiver
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.

Complaint filed Apr. 6, 1960. Final judgment by consent as to both
defendants entered Nov. 17, 1961. Closed.

Complaint filed Mar. 9, 1962. Temporary restraining order, Mar. 9, 1962.
Answers filed. Final judgment by default as to 1 defendant entered
May 16, 1962. Pending as to remaining defendants.

Default judgment as to 1 defendant entered Feb. 20, 1961. Final judgment as to 1 defendant entered July 12, 1961. Closed.

Complaint filed Dec. 27, 1961. Final judgment by consent as to all defend-
ants entered Dec. 27, 1961. Closed.

Receiver appointed Feb. 16, 1960. Final judgment by consent as to all de-
fendants entered Apr. 19, 1960. Order entered discharging receiver Jan.
15, 1962. Closed.
Complaint filed Aug. 25, 1961. Final judgment by consent as to both de-
fendants entered Aug. 25, 1961. Closed.
Summons, complaint and request for the appointment of a receiver filed
June 1, 1961. Final judgment by consent as to all defendants and order
appointing a receiver entered June 1, 1961. Pending as to receivership.
Summons, complaint and request for the appointment of a receiver filed
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.
Complaint and request for the appointment of a receiver filed Feb. 27,
1961. Receiver appointed Apr. 10, 1961. Final judgment by consent
entered as to both defendants Dec. 19, 1961. Pending as to receiver.
Summons, complaint and request for the appointment of a receiver filed
Nov. 18, 1960. Receiver appointed. Final judgments by consent
entered Dec. 2, 1960, as to defendants and Dec. 16, 1960, as to remaining
defendant. Receiver discharged Dec. 5, 1961. Closed.
Complaint filed and preliminary injunction by consent entered Aug. 25
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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Secs. 5(a) and 5(c), 17(a) (2) and (3), 1933 Act; Secs. 10(b), 15(a), 15(c) (1), and Rules 10b-5 and 15c1-2, 1934 Act. Aug. 12, 1960 Sec. 17(a), 1933 Act..

May 28, 1962 Secs. 10(b), 15(c) (1) and
15(c) (3), and Rules 10b-5,
15c1-2 and 15c3-1, 1934
Act.

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

Secs. 5 (a) and (c), 17(a)(1),
17(a) (2) and 17(a) (3), 1933
Act; Sec. 10(b) and Rule
10b-5, 1934 Act.

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

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

Sec. 17(a), 1933 Act; Secs.
15(c) (1), 15(c)(3), 17(a)
and Rules 15c1-2, 15c1-4,
15c3-1, 17a-3 and 17a-4,
1934 Act.

Complaint filed and final judgment by consent as to both defendants
entered Sept. 6, 1961. Closed.

Summons and complaint filed Dec. 14, 1961. Final judgments by consent
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.
Preliminary injunction as to 7 defendants entered Dec. 15, 1959. Notice of
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.

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.
Summons, complaint and request for the appointment of a receiver filed
May 21, 1962. Temporary restraining order signed May 21, 1962.
Pending.
Complaint filed Feb. 6, 1961. Final judgments by consent entered Feb. 20
and Mar. 1, 1961, as to 4 defendants. Final judgment by consent as to
the remaining defendant entered June 1, 1962. Closed.

Summons and complaint filed and temporary restraining order signed
Aug. 12, 1960. Notice of dismissal without prejudice as to all defendants
ordered Mar. 15, 1962. Closed.
Complaint and request for the appointment of a receiver filed May 28, 1962.
Final judgment entered and receiver appointed June 4, 1962. Pending.

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. Complaint filed Dec. 13, 1961. Answers filed. Final judgment by consent as to 2 defendants entered Jan. 29, 1962. Pending.

Receiver appointed July 21, 1958. defendants entered July 22, 1958.

Final judgment by consent as to 2 Pending.

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Complaint and request for the appointment of a receiver filed May 1, 1961. Final judgment by consent as to 3 defendants entered Aug. 15, 1961. By agreement plaintiff can move for appointment of receiver if such action appears warranted. Closed.

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

Name of principal
defendant

Status of case

June 7, 1961
May 22, 1962
Oct. 16, 1958

Sec. 5, 1933 Act.
Secs. 15(c) (1) and 17(a) and
Rules 15c1-2 and 17a-5,
1934 Act.

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

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

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

Act; Secs. 15(c) (1), 15(c)
(3), and 10(b), 1934 Act.
Secs. 5(a)(1) and (2), 17a
(1), (2) and (3) and 17(b),
1933 Act; Sec. 10(b), 1934
Act.

Num-
ber of
defend-
ants

U.S. District
Court

Initiating papers filed

Alleged violations

Brown, Barton & Engel.

9

New Jersey.

May 1, 1962

Sec. 17(a), 1933 Act.

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Sept. 23, 1958

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Sec. 206(1) and (2), Inv.
Adv. Act of 1940.

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

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

Secs. 15(c) (1), 15(c)(3) and

17(a) and Rules 15c1-2,
15c3-1 and 17a-3, 1934 Act.
Secs. 15(c) (1), 15(c) (3), and
17(a) and Rules 15c1-2,
15c3-1 and 17a-3, 1934 Act.
Sec. 17(a) (2) and (3), 1933
Act.

Sec. 5(a)(1) and (2), and
5(c), 1933 Act.

Sec. 10(b) and Rule 10b-5,

1934 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.

Summons and complaint filed Apr. 27, 1962. Final judgment by consent
entered Apr. 27, 1962. Closed.

Final judgment by consent as to both defendants entered Aug. 31, 1960.
Final report of receiver filed with court Sept. 12, 1961. Closed.

Complaint filed June 7, 1961. Default judgment entered Jan. 29, 1962, as to
all defendants. Closed.

Complaint filed May 22, 1962. Final judgment by consent as to both de-
fendants entered June 7, 1962. Closed.

Final judgment entered as to all defendants and receiver appointed Oct. 16,
1958. Order approving final report and discharging receiver filed.
Closed.
Final judgment by consent as to 3 defendants entered Nov. 24, 1958. Under-
taking filed as to 1 defendant, June 1959. Pending.

Complaint filed Nov. 17, 1960. Opinion rendered denying motion for pre-
liminary injunction. Notice of appeal filed Apr. 1961, by Commission
from the order of the district court denying motion for preliminary in-
junction. Pending.

Summons and complaint filed July 18, 1961. Final judgment by consent
as to all defendants entered July 19, 1961. Closed.
Complaint filed June 19, 1961. Preliminary injunction as to 7 defendants
entered Sept. 18, 1961. Final judgment by consent as to 1 defendant
entered Apr. 23, 1962. Pending.

Order of preliminary injunction as to both defendants signed July 21, 1960.
Order denying defendants' application to vacate preliminary injunction
entered July 21, 1960. Pending.

Complaint and request for the appointment of a receiver filed May 1, 1962.
Final judgment by consent as to both defendants entered May 25, 1962.
Stipulation recommending that appointment of receiver be held in abey-
ance pending compliance of said stipulation. Pending.
Complaint and request for the appointment of a receiver filled Apr. 25, 1961.
Final judgment by consent entered as to all defendants May 2, 1961.
Order entered Dec. 6, 1961, appointing a receiver. Pending.

Final judgment by consent as to 2 defendants entered Nov. 13, 1957.
Pending as to remaining defendant.

Summons and complaint filed Apr. 12, 1961. Preliminary injunction
entered as to 3 defendants Apr. 28, 1961, and as to remaining defendant
May 8, 1961. Pending.

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