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2 | Southern District Aug. 23, 1961 | Secs. 17(a)(3), 1933 Act; Complaint and request for the appointment of a receiver filed Aug. 23, 1961, of California.

Secs. 15(c)(1), 11(c)(3), Final judgment by consent entered Sept. 7, 1961, as to both defendants, and Rules 15c1-2 and further ordering that plaintiff's request for appointment of a receiver be 1503-1, 1934 Act.

dismissed, with stipulation for reinstatement of order if warranted.
2 Eastern District July 27, 1959 Secs. 17(a)(2) and 17(a)(3), Petitions to reclaim property Aled Oct. 13, 1959. Order entered denying
of Missouri.

1933 Act; Secs. 15 (1) petitions, June 30, 1960. Appeal filed Aug. 25, 1960. Opinion rendered
15(C)(3) and 100) and Apr. 24, 1962, per curiam reversing judgment of the district court insofar
Rules 1501-2, 15c3-1 and as it undertakes to adjudicate the Reclamation Claim and directing
106-5, 1934 Act.

court to enter a decree sustaining the Reclamation Claim of intervenors.
Pending.

HOME
4 Northern District Sept. 8, 1961 Secs. 5(a) and (c), 1933 Act. Complaint filed Sept. 8, 1961. Final judgment as to the chief defendant and
of Illinois.

"his associates" entered Nov. 30, 1961; no formal disposition as to other

defendants. Closed. Southern District Mar. 14, 1958 Sec. 38 and 16(a), Inv. Co. Default judgment entered as to 1 defendant, Feb. 29, 1960. Court judgof New York,

Act of 1940.

ment entered as to another defendant June 9, 1960. Pending. 3 Maryland. Dec. 22, 1961 Secs. 5 (a) and (c) and 17(a), Complaint filed Dec. 22, 1961. Final judgment by the court as to all

1933 Act.

defendants entered Apr. 24, 1962. Closed
1 Eastern District Mar. 23, 1961 Sec. 14(a) and Regulation Complaint filed Mar. 23, 1961. Order of preliminary injunction signed
of Michigan.

14, 1934 Act.

Mar. 31, 1961. Ordered entered Dec. 7, 1961, dismissing complaint.

Closed.
4 Massachusetts. July 19, 1960 Sec. 17(a), 1933 Act; Sec. Complaint filed July 19, 1960. Complaint amended to include additional

15(c)(3) and Rule 15c3-1, violations and appointment of receiver requested, Aug. 17, 1960. Final
1934 Act.

judgment by consent as to 3 defendants and dismissal as to 1 defendant
entered Sept. 8, 1960. Order entered Sept. 19, 1960, appointing a new

receiver. Pending.
3 Middle District Nov. 3, 1961 Secs. 5(a), 5(c) and 17(a), Complaint filed Nov. 3, 1961. Final judgment by consent as to all defend-
of Tennessee.

1933 Act.

ants entered Nov. 3, 1961. Closed.
Eastern District Sept. 28, 1959 Secs. 15(C) (1), 15(c)(3) and Receiver appointed Oct. 2, 1959. Final judgment by consent entered
of Wisconsin.

10(b) and Rules 15c1-2, Oct. 16, 1959. Closed.
1503-1 and 105-5 1934 Act;
Secs. 17(a) (2) and 17(a)(3),

1933 Act. I
Northern District June 19, 1961 Secs. 5(a) and 5(c), 1933 Act Complaint filed June 19, 1961. Final judgment by consent as to all defend-
of Ohio.

ants entered July 26, 1961. Closed. 9 Southern District Sept. 14, 1961 Secs. 5(a), 6(c) and 17(a) (2), Complaint filed Sept. 14, 1961.

Final judgment by consent as to 6 defendof Texas.

1933 Act.

ants entered Sept. 29, 1961. Pending as to remaining defendants.
2 Massachusetts. Sept. 17, 1960 Secs. 15(e) (1), 10(b), 8(c), Complaint and request for the appointment of a receiver filed Sept. 17,

8(d) and Rules 15c1-2, 1960. Receiver appointed and temporary restraining order signed Sept.
105-5 and 80-1, 1934 Act. 17, 1960. Final judgment as to both defendants entered Sept. 26, 1960.

Pending as to receiver.
Eastern District Apr. 9, 1957 Sec. 12(e), 1935 Act. Order Mar. 8, 1960, denying defendant's motion to vacate Nov. 16, 1959
of Missouri.

judgment. Notice of appeal filed May 6, 1960. Finding of violation
affirmed. Injunction vacated. Opinion filed June 30, 1961. CA-8
denied petition for rehearing. Mandate filed Aug. 15, 1961. Cause

dismissed Oct. 10, 1961. Closed.
Southern District Nov. 8, 1961 Secs. 5(a), 5(c) and 17(a) (2), Complaint filed Nov. 8, 1961. Final judgment by consent as to 3 defendants
of Texas.

1933 Act.

entered Nov. 16, 1961. Final judgment by default as to 1 defendant entered Mar. 12, 1962. Closed.

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Diversified Automated

Sales Corp.
Dodge, Sherburn J.

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Dynamic Metals, Inc..

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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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4 Southern District Apr. 4, 1962 Secs 15(b), 15(c)(3) and Summons and complaint filed Apr. 4, 1962. Answer filed. Preliminary
of New York.

17(a) and Rules 15b-2, injunction as to all defendants entered May 21, 1962. Pending.
1503-1, 178-3, 17a-5, 1934

Act.
2 Minnesota

Sept. 8, 1961 Sec. 17(a), 1933 Act; Secs. Complaint and request for the appointment of a receiver filed Sept. 8, 1961.

10(b) and 15(e)(1), and Answer filed. Preliminary injunction entered Sept. 29, 1961, as to 2 Rules 10b-5 and 15c1-3, defendants and appointment of a receiver continued until hearing for 1934 Act.

permanent injunction. Pending. 2 Maryland. June 22, 1962 Secs. 15(c)(1), 15(c)(3) and Complaint and request for the appointment of a receiver filed June 22, 1962,

17(a), Rules 15c1-2, 15c3-1 Temporary restraining order signed June 22, 1962. Application for and 178-3, 1934 Act.

receiver denied. Pending.
3 District of

Mar. 29, 1962 Sec. 15(c)(3) and Rule Complaint and request for the appointment of a receiver filed Mar. 29,
Columbia.

15c3-1, 1934 Act.

1962. Receiver appointed Mar. 30, 1962. Preliminary injunction as to
all defendants entered Apr. 5, 1962. Order entered June 13, 1962, denying
motions of 2 defendants to dismiss complaint. Second order entered

June 13, 1962, vacating first order and reinstating motions. Pending.
19 Western District Mar. 10, 1961 Secs. 17(a)(2) and (3), 1933 Complaint filed Mar. 10, 1961. Amended complaint filed Mar. 26, 1962,
of Washington.

Act.

seeking additional violations of 1933 Act as to 1 defendant. Motion of
SEC for preliminary injunction, based only on amendment to complaint,
filed Apr. 18, 1962. Denied June 14, 1962. Order dismissing action as to
1 defendant and adding 1 defendant as trustee entered Apr. 18, 1962.

Pending.
2 Southern District Nov. 21, 1961 Sec. 15(c)(3) and Rule 15c3- Summons and complaint filed Nov. 21, 1961. Answer filed. Preliminary
of California.

1, 1934 Act.

injunction entered Dec. 20, 1961, as to both defendants. Pending.
3 Maine..

Dec. 14, 1961 Secs. 5(a), 5(c) and 17(a)(2), | Complaint filed Dec. 14, 1961. Final judgment as to all defendants entered
1933 Act.

Dec. 14, 1961. Closed.
3 Eastern District Jan. 13, 1960 Sec. 15(d), 1934 Act.

Final judgment by consent as to 1 defendant entered Mar. 31, 1960. Pend-
of Louisiana.

ing.
3 Eastern District Oct. 20, 1961 Sec. 15(c)(1), 15(c)(3) and Complaint and request for the appointment of a receiver filed Oct. 20, 1961.
of Pennsylvania.

Rules 15c1-2 and 15c3-1, Final judgment as to all defendants and order appointing receiver entered
Act.

Oct. 24, 1961. Pending.
4 Montana.
Mar. 23, 1961 Secs. 5(a) and 5(c) ,1933 Act. Complaint filed Mar. 23, 1961. Final judgment by consent entered July 31,

1961, enjoining 3 defendants and further ordering dismissal as to 1 defend

ant. Closed.
1
Delaware

Dec. 7, 1960 Secs. 17(a)(1) 17(a)(3) and Complaint and request for the appointment of a receiver flled Dec. 7, 1960.

24, 1933 Act; Sec. 10(b) Amended complaint filed Dec. 13, 1961, seeking to enjoin the intervenor.

and Rule 10b-5, 1934 Act. Pending. 10 Southern District Apr, 29, 1958 Sec. 17(a), 1933 Act.. Final judgments entered as to 1 defendant by consent on Apr. 4, 1960, and of New York,

by default as to 6 defendants, Apr. 12, 1960. Stipulation of discontinuance as to 1 defendant Apr. 10, 1961. Pending as to remaining defendants.

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2 | Northern District | Oct. 25, 1961 | Sec. 15(c)(3), 17(a), and Complaint filed Oct. 25, 1961. Amended and supplemental complaint of Callfornia.

Rules 15c3-1 and 17a-3, seeking additional violations filed Dec. 21, 1961. Final judgment by 1934 Act.

consent as to 2 defendants entered Dec. 21, 1961. Petition for leave to
file second amended and supplemental complaint and request for the

appointment of a receiver filed Jan. 30, 1962. Pending.
4 Southern District Jan. 23, 1958 Sec. 17(a), 1933 Act. Final judgment by consent as to i defendant entered Apr. 3, 1958. Pending.

of New York.
3 ..do.

Mar. 11, 1960 Sec. 10(b) and Rule 106-5, Preliminary injunction by consent entered as to 1 defendant Mar. 31, 1960,
1934 Act.

and by default as to 1 defendant Apr. 8, 1960. Pending.
2 District of

Jan. 26, 1962 Secs. 15(c)(3) and 17(a) and Complaint filed Jan. 26, 1962. Preliminary injunction by consent as to
Columbia

Rules 15c3-1 and 178-3, both defendants entered Jan. 29, 1962. Pending.

1934 Act.
4 Southern District Sept. 25, 1959 Sec. 5, 1933 Act.

Notice of appeal filed from the order of preliminary injunction. Order
of New York.

entered by CA-2 affirming the judgment of the district court. Petition

for certiorari denied on Oct. 10, 1960. Pending.
2

Feb. 11, 1959 Secs. 5(a) and (c) and 17(a), Mandatory injunction by consent as to 1 defendant entered Feb. 26, 1959.

1933 Act; Secs. 10(b), 13 Petition for reorganization under Chapter X of the Bankruptcy Act,
and 16(a) and Rules 106-5, filed in district court for the Eastern District of Michigan. Pending as
138-1, 11 and 168-1, 1934 to remaining defendant.

Act.
3 Eastern District Jan. 8, 1962 Secs. 15(c)(1), 15(c)(3), and Summons, complaint and request for the appointment of a receiver filed
of New York.

17(a) and Rules 15cl-2, Jan. 8, 1962. Preliminary injunction and order appointing receiver
15c3-1 and 178-3, 1934 Act. entered Jan. 12, 1962. Answer filed. Petition of receiver for an order

directing sale of all stocks listed in certain categories and for such other
and further relief the court may deem just and proper, filed May 11,

1962. Pending.
3 Western District Jan. 23, 1962 Secs. 17(a)(2) and 17(a)(3), Complaint filed Jan. 23, 1962. Final judgment by consent as to all
of Washington.

1933 Act.

defendants entered Feb. 2, 1962. Closed.
6 Southern District Jan. 16, 1961 Sec. 17(a), 1933 Act; Secs. Summons and complaint filed Jan. 16, 1961. Final judgment by consent
of New York.

10(h), 15(C)(3), 17(a) and entered as to 3 defendants Feb. 8, 1961. Final judgment entered as to I
Rules 10b-6, 15c3-1 and defendant Mar. 22, 1961. Final judgment by default entered as to 1
17a-3, 1934 Act.

defendant Sept. 19, 1961. Pending as to 1 defendant.
2 Northern District Nov. 19, 1954 Sec. 17(a)(2) and (3), 1933 Final compliance order by consent, Mar. 22, 1958. Order Mar. 26, 1958,
of California.

Act; Sec. 10(b) and Rule granting application for amendment of Exhibit A to Interlocutory Order
10b-5(2) and (3), 1934 Act; dated Apr, 29, 1955. Amended compliance order, May 8, 1958. Closed.
Sec. 206(2), Inv. Adv. Act

of 1940.
22 Southern District July 21, 1961 Sec. 14(a) and Regulation Complaint filed July 21, 1961. Final judgment as to 1 defendant entered
of California.

14, 1934 Act.

Sept. 22, 1961. Order entered Sept. 27, 1961, dismissing as to 1 defendant.
Final judgment entered Oct. 18, 1961, as to 6 defendants and dismissing
action as to 14 defendants. Appeal filed Oct. 20, 1961, from the order en-
tered Oct. 18, 1961. Order affirming and modifying judgment of district

court entered Jan. 17, 1962. Petition of certiorari filed. Pending.
3 Northern District June 5, 1962 Sec. 5(8) and 5(c), 1933 Act.. Summons and complaint filed June 5, 1962. Final judgment as to all de-
of California.

fendants entered June 28, 1962. Closed.
6 New Mexico.. July 27, 1960 Sec. 17(a), 1933 Act; Sec. Complaint filed July 27, 1960. Preliminary injunction as to all defendants

10(b) and Rule 10b-5, 1934 entered Aug. 15, 1960. Final judgment by consent as to 2 defendants en-
Act.

tered Nov. 22, 1960. Default judgment as to 3 defendants entered Dec.

12, 1960. Pending as to remaining defendant. 1 District of Co Mar, 30, 1962 Secs. 15(c)(3) and 17(a) and Complaint filed Mar. 30, 1962. Receiver appointed Apr. 2, 1962. Prelimilumbia.

Rules 15c3-1, 17a-3 and nary injunction by consent entered Apr. 5, 1962. Petition and order en. 178-5, 1934 Act.

larging receiver's powers Apr. 27, 1962. Pending.

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

Name of principal

defendant

Num.
ber of
defend-
ants

U.S. District

Court

Initiating papers filed

Alleged violations

Status of case

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2 Colorado.

July 20, 1961 Secs. 5(8), 5(c) and 17(a), Complaint and request for the appointment of a receiver filed July 20, 1961.

1933 Act; Secs. 15(c) (1) Order entered appointing receiver. Final judgment by consent as to
and 15(c)(3), 1934 Act; and both defendants entered Oct. 11, 1961. Company liquidated by receiver.
Rules 15cl-2 and 15c3-1, Closed.

1934 Act.
2 New Jersey June 20, 1960 Secs. 15(c)(1), 15(C)(3) and Preliminary injunction as to both defendants entered Aug. 3, 1960. Answer

Rules 15c1-2 and 1503-1, filed Aug. 8, 1960. Pending.

1934 Act.
3 Montana

July 25, 1961 Secs. 17(a)(2) and 17(a)(3), Complaint and request for the appointment of a receiver filed July 25, 1961.
1933 Act.

Final judgment by consent entered as to all defendants and receiver ap

pointed July 28, 1961. Pending.
Southern District Nov. 15, 1960 Secs.5(a), 5(c) and 17(a), 1933 Complaint and request for the appointment of a receiver flled Nov. 15, 1960.
of Florida.

Act; Séc. 15(a), 1934 Act. Preliminary injunction entered Dec. 14, 1960. Receiver appointed Mar.

9, 1961. Pending.
4 Southern District Sept. 14, 1961 Secs. 5(a), 5(c) and 17(a)(2)-- Complaint filed Sept. 14, 1961. Final judgment by consent as to all defend-
of Texas.

ants entered Sept. 29, 1961. Closed.
4 Utah.
Feb. 11, 1960 Secs. 5(a) and 5(c), 1933 Act. Default judgment as to 1 defendant and consent judgment as to 1 defendant

Oct. 6, 1960. Complaint dismissed Aug. 25, 1961, as to 1 defendant, and

June 28, 1962, as to remaining defendant. Closed.
5 District of Co Mar. 2, 1960 Secs. 5(a) and (c) and 17(a), Final judgment by consent as to 3 defendants and dismissal as to 1 defendant
lumbia,

1933 Act.

entered Dec. 13, 1960. Final judgment by consent as to remaining defend

ant entered Oct. 4, 1961. Closed.
2 New Jersey Mar. 2, 1960 Secs. 15(c)(1), 15(c)(2) and Complaint filed Mar. 2, 1960. Preliminary injunction by consent signed

17(a) and Rules 15c1-2, Mar. 30, 1960. Order entered approving final report of receiver and dis-
15c3-1 and 178-3, 1934 Act. charging him upon filing a supplemental final report, June 26, 1961.

Receiver's supplemental final report Aled, July 14, 1961. Pending.
2 Southern District Jan, 11, 1961 Sec. 15(c)(3) and Rule Complaint filed Jan. 11, 1961. Order to show cause and temporary restrain-
of California.

1503-1, 1934 Act.

ing order signed, Oct. 30, 1961. Supplemental complaint and order for the
appointment of a receiver filed Jan. 30, 1962. Answer of defendants to

supplemental complaint, Aled July 12, 1962. Pending.
6 New Jersey June 20, 1962 Sec. 17(a), 1933 Act. Summons and complaint filed June 20, 1962. Temporary restraining order

signed June 20, 1962. Pending.
5 Southern District | Nov. 26, 1958 Secs. 5 and 17(a), 1933 Act. Final judgment by consent as to 1 defendant entered as to Sec. 5, 1933 Act,
of New York,

Mar. 3, 1961. Default judgment entered Aug. 29, 1961, enjoining 1 de-
fondant as to Secs. 5 and 17(a) of 1933 Act. Pending as to remaining

defendants.
2 New Hampshire.. Jan. 19, 1962 secs. B(a) and 5(c), 1933 Act. Complaint filed Jan. 19, 1962. Final judgment by consent as to both de-

fendants entered Jan. 19, 1962. Closed.
2 Massachusetts. May 15, 1961 Secs. 10(b), 15(c) (1), 15(c)(3) Complaint and request for the appointment of a receiver Aled May 15, 1961.

and Rules 105-5, 1501-2 Final judgment entered by the court as to 2 defendants Oct. 6, 1961, and and 15c3–1, 1934 Act. permanent co-receivers appointed. Pending.

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4 Nevada.. June 12, 1961 | Secs. 17(a) (2) and 17(a) (3), | Complaint Aled June 12, 1961. Final judgment by consent as to all defend

1933 Act.

ants entered Sept. 27, 1961. Closed 2 Vermont. July 6, 1961 | Secs. 5(a) and 5(c), 1933 Act. Complaint filed July 6, 1961. Final judgment by consent as to both defend

ants entered Oct. 18, 1961. Closed. 46 Southern District | Dec. 9, 1958 Secs. 5(b) (1) and (2), 10, Final judgment by consent as to 2 defendants entered Dec. 19, 1958. Order of New York, 17(a) (1), (2) and (3), 1933 entered dismissing action as to 1 defendant Dec.

21, 1961. Order directing Act.

clerk to mark case closed on Mar. 13, 1962. Motion for an order to set aside said order was denied Apr. 24, 1962. Notice of appeal filed May 11,

1962, from the order of the district court entered Mar. 13, 1962. Pending. 2 Northern District May 12, 1961 Sec. 15(c)(3) and Rule 15c3- Complaint filed May 12, 1961. Final judgment as to both defendants of Indiana.

1, 1934 Act.

entered Sept. 7, 1961. Closed. 1 Massachusetts. June 8, 1962 Sec. 15(c)(3), 1934 Act. Complaint filed June 8, 1962. Final judgment by consent entered June 18,

1962. Closed 4 Southern District Apr. 27, 1962 Secs. 15(b), 17(a) and Rules Findings of fact and conclusions of law and order denying preliminary of New York.

15b-2 and 17a-3, 1934 Act. injunction on condition that defendants not engage in securities business 5 Southern District Aug. 20, 1958 Sec. 17(a) (3), 1933 Act; Secs. pending outcome of administrative proceeding. Pending. of California.

10(b) and 15(c)(1), 1934 Summons and complaint filed Apr. 27, 1962. Preliminary injunction Act.

entered May 31, 1962, as to all defendants. Pending. 3 Colorado..

Oct. 11, 1961 Sec. 15(c)(1), and Rule Complaint and request for the appointment of a receiver filed Oct. 11, 1961.
1501-2, 1934 Act.

Preliminary injunction entered Oct. 18, 1961, enjoining 3 defendants.
Order entered Oct. 20, 1961, denying motion for appointment of a receiver,
and granting renewal of said motion if defendant company does not com-
ply with stipulation dated Oct. 18, 1961. Order to show cause and tempo-
rary restraining order signed Feb. 2, 1962. Order permitting withdrawal
of attorneys filed Apr. 3, 1962. Order entered Apr. 4, 1962, adjourning
hearing to May 21, 1962, on plaintiff's application for appointment of

receiver and on all pending motions. Pending.
4 Southern District Jan. 28, 1960 Sec. 15(c)(3) and Rule Order of dismissal as to all defendants entered Jan. 30, 1962. Closed.
of New York.

1503-1, 1934 Act. 9 District of Colum- Mar. 30, 1962 Secs. 5 (a) and (c), 1933 Act. Complaint filed Mar. 30, 1962. Preliminary injunction enjoining 3 defendbia.

ants Apr. 19, 1962. Final judgments by, consent as to 7 defendants

entered Apr. 24, 1962. Pending as to remaining 2 defendants. 4 Southern District May 28, 1962 Secs. 18(c)(1), 15(c)(2), Complaint filed May 28, 1962. Final judgment by consent as to 3 defendof New York.

15(c)(3), and 17(a) and ants entered June 1, 1962. Stipulation dismissing action as to 1 defendant, Rules 1501-2, 1503-1, 15c2 June 11, 1962. Closed. 4, 178-5 and 17a-3, 1934

Act.
2 Vermont.. July 18, 1961 Secs. 5(a) and 5(c), 1933 Act. Complaint filed July 18, 1961. Final judgment by consent as to both

defendants entered July 18, 1981. Closed.
2 Southern District Jan. 27, 1961 Sec. 17(a) and Rules 17a-3 Summons and complaint filed Jan. 27, 1961. Preliminary injunction
of New York.

and 178-4, 1934 Act. signed as to both defendants. Stipulation of dismissal as to both defend

ants filed Dec. 26, 1961. Closed.
-.do.
July 3, 1961 Sec. 17(a), 1933 Act; Sec. Complaint filed July 3, 1961. Preliminary injunction as to all defendants
15(c) (1), 1934 Act.

entered July 19, 1961. Pending.
1 Middle District Dec. 7, 1961 Secs. 5(a) and 5(c), 1933 Act. Complaint filed Dec. 7, 1961. Final judgment by consent entered Dec. 7,
of Tennessee.

1961. Closed
3 Northern District Feb. 7, 1962 Secs. 5(a) and 5(c), 1933 Act. Complaint filed Feb. 7, 1962. Final judgment by consent as to all defend.
of Illinois,

ants entered Mar. 8, 1962. Closed 4 New Jersey. Aug. 11, 1961 Secs. 5 and 17(a), 1933 Act... Summons and complaint filed Aug. 11, 1961. Final judgment by consent

as to all defendants entered Oct. 10, 1961. Closed.

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Magic Mountain Corp.
Mainland Securities

Corp.
Ronald Mark & Co.,

Inc.
Mashburn, Morris..
Matralin Co., Inc.-----
P. Michael & Co...

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