Annual Report of the SEC.

Cooper-Matthews, Inc.

2 Southern District | Aug. 23, 1961 Secs. 17(a)(3), 1933 Act; | of California. Secs. 15(c) (1), 15(c)(3), and Rules 15c1-2 and 15c3-1, 1934 Act.

Costello, Arthur Cal CLIGO JUG

Eastern District of Missouri.

July 27, 1959 Secs. 17(a) (2) and 17(a)(3),

1933 HAct; Secs. 15(c)(1),
15(c)(3) and 10(b) and
Rules 15c1-2, 15c3-1 and
10b-5, 1934 Act.

Complaint and request for the appointment of a receiver filed Aug. 23, 1961.
Final judgment by consent entered Sept. 7, 1961, as to both defendants,
further ordering that plaintiff's request for appointment of a receiver be
dismissed, with stipulation for reinstatement of order if warranted.
Closed.
Petitions to reclaim property filled Oct. 13, 1959. Order entered denying
petitions, June 30, 1960. Appeal filed Aug. 25, 1960. Opinion rendered
Apr. 24, 1962, per curiam reversing judgment of the district court insofar
as it undertakes to adjudicate the Reclamation Claim and directing
court to enter a decree sustaining the Reclamation Claim of intervenors.
Pending.

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.

Jefferson Custodian

Fund, Inc.).

Custer Channel Wing Corp.

Southern District Mar. 14, 1958
of New York.
3 Maryland...

Dec. 22, 1961

Dann, Sol A.

DiRoma, Alexik & Co.

Massachusetts..

July 19, 1960

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

Sec. 36 and 16(a), Inv. Co. Default judgment entered as to 1 defendant, Feb. 29, 1960. Court judgAct of 1940. ment entered as to another defendant June 9, 1960. Pending.

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

Sec. 14(a) and Regulation
14, 1934 Act.

Sec. 17(a), 1933 Act; Sec.
15(c) (3) and Rule 15c3-1,
1934 Act.

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

Secs. 15(c) (1), 15(c) (3) and
10(b) and Rules 15c1-2,
15c3-1 and 10b-5 1934 Act;
Secs. 17 (a) (2) and 17 (a) (3),
1933 Act.IS
Secs. 5(a) and 5(c), 1933 Act

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

Secs. 15(e) (1), 10(b), 8(c),
8(d) and Rules 15c1-2,
10b-5 and 8c-1, 1934 Act.
Apr. 9, 1957 Sec. 12(e), 1935 Act..

Dynamic Metals, Inc..

Southern District of Texas.

Nov. 8, 1961

Complaint filed Dec. 22, 1961. Final judgment by the court as to all
defendants entered Apr. 24, 1962. Closed.

Complaint filed Mar. 23, 1961. Order of preliminary injunction signed
Mar. 31, 1961. Ordered entered Dec. 7, 1961, dismissing complaint.
Closed.turut me

Complaint filed July 19, 1960. Complaint amended to include additional
violations and appointment of receiver requested, Aug. 17, 1960. Final
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.

Final judgment by consent as to all defend

Final judgment by consent as to all defend-
Closed.E OLD

Complaint filed June 19, 1961.
ants entered July 26, 1961.
Complaint filed Sept. 14, 1961. Final judgment by consent as to 6 defend-
ants entered Sept. 29, 1961. Pending as to remaining defendants.
Complaint and request for the appointment of a receiver filed Sept. 17,
1960. Receiver appointed and temporary restraining order signed Sept.
17, 1960. Final judgment as to both defendants entered Sept. 26, 1960.
Pending as to receiver.

Order Mar. 8, 1960, denying defendant's motion to vacate Nov. 16, 1959
judgment. Notice of appeal filled 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.

Secs. 5(a), 5(c) and 17(a) (2), Complaint filed Nov. 8, 1961. Final judgment by consent as to 3 defendants
1933 Act.
entered Nov. 16, 1961. Final judgment by default as to 1 defendant
entered Mar. 12, 1962. Closed.

672175-63-15

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

Apr. 4, 1962 Secs 15(b), 15(c) (3) and
17(a) and Rules 15b-2,
15c3-1, 17a-3, 17a-5, 1934
Act.
Sept. 8, 1961 Sec. 17(a), 1933 Act; Secs.
10(b) and 15(e) (1), and
Rules 10b-5 and 15c1-3,
1934 Act.
June 22, 1962 Secs. 15(c) (1), 15(c) (3) and
17(a), Rules 15c1-2, 15c3-1
and 17a-3, 1934 Act.
Sec. 15(c)(3) and Rule
15c3-1, 1934 Act.

Mar. 10, 1961 Secs. 17(a) (2) and (3), 1933
Act.

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

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

Sec. 15(d), 1934 Act.

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

Summons and complaint filed Apr. 4, 1962. Answer filed. Preliminary
injunction as to all defendants entered May 21, 1962. Pending.

Complaint and request for the appointment of a receiver filed Sept. 8, 1961.
Answer filed. Preliminary injunction entered Sept. 29, 1961, as to 2
defendants and appointment of a receiver continued until hearing for
permanent injunction. Pending.
Complaint and request for the appointment of a receiver filed June 22, 1962.
Temporary restraining order signed June 22, 1962. Application for
receiver denied. Pending.

Complaint and request for the appointment of a receiver filed Mar. 29,
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.
Complaint filed Mar. 10, 1961. Amended complaint filed Mar. 26, 1962,
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.
Summons and complaint filed Nov. 21, 1961. Answer filed. Preliminary
injunction entered Dec. 20, 1961, as to both defendants. Pending.
Complaint filed Dec. 14, 1961. Final judgment as to all defendants entered
Dec. 14, 1961. Closed.

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

Complaint and request for the appointment of a receiver filed Oct. 20, 1961.
Final judgment as to all defendants and order appointing receiver entered
Oct. 24, 1961. Pending.

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.

Dec. 7, 1960 Secs. 17(a) (1) 17(a) (3) and

24, 1933 Act; Sec. 10(b) and Rule 10b-5, 1934 Act. Sec. 17(a), 1933 Act..

Complaint and request for the appointment of a receiver flled Dec. 7, 1960.
Amended complaint filed Dec. 13, 1961, seeking to enjoin the intervenor.
Pending.

Final judgments entered as to 1 defendant by consent on Apr. 4, 1960, and
by default as to 6 defendants, Apr. 12, 1960. Stipulation of discontinuance
as to 1 defendant Apr. 10, 1961. Pending as to remaining defendants.

Corp. and Simeon
Miller.

Mar. 29, 1962

Nov. 21, 1961
Dec. 14, 1961

Southern District Apr. 29, 1958 of New York.

Grant, Fontaine & Co.

2 Northern District | Oct. 25, 1961 | Sec. 15(c)(3), 17(a), and of California.

Rules 15c3-1 and 17a-3, 1934 Act.

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

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

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

Greenwald, William...

.do.

Mar. 11, 1960

Guardian Investment

District of

Jan. 26, 1962

Corp.

Columbia.

Guild Films Co., Inc-

of New York.

Feb. 11, 1959 Secs. 5(a) and (c) and 17(a), 1933 Act; Secs. 10(b), 13 and 16(a) and Rules 10b-5, 13a-1, 11 and 16a-1, 1934 Act.

Secs. 17(a) (2) and 17(a) (3), 1933 Act. 1 Sec. 17(a), 1933 Act; Secs. 10(b), 15(c) (3), 17(a) and Rules 10b-6, 15c3-1 and 17a-3, 1934 Act. Sec. 17(a) (2) and (3), 1933 Act; Sec. 10(b) and Rule 10b-5(2) and (3), 1934 Act; Sec. 206(2), Inv. Adv. Act of 1940. Sec. 14(a) and Regulation 14, 1934 Act. 10 )

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

Mar. 30, 1962 Secs. 15(c) (3) and 17(a) and
Rules 15c3-1, 17a-3 and
17a-5, 1934 Act.

Complaint filed Oct. 25, 1961. Amended and supplemental complaint
seeking additional violations filed Dec. 21, 1961. Final judgment by
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.

Final judgment by consent as to 1 defendant entered Apr. 3, 1958. Pending.

Preliminary injunction by consent entered as to 1 defendant Mar. 31, 1960,
and by default as to 1 defendant Apr. 8, 1960. Pending.

Complaint filed Jan. 26, 1962. Preliminary injunction by consent as to
both defendants entered Jan. 29, 1962. Pending.

Notice of appeal filed from the order of preliminary injunction. Order
entered by CA-2 affirming the judgment of the district court. Petition
for certiorari denied on Oct. 10, 1960. Pending.

Mandatory injunction by consent as to 1 defendant entered Feb. 26, 1959.
Petition for reorganization under Chapter X of the Bankruptcy Act,
filed in district court for the Eastern District of Michigan. Pending as
to remaining defendant.

Summons, complaint and request for the appointment of a receiver filed
Jan. 8, 1962. Preliminary injunction and order appointing receiver
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.

Complaint filed Jan. 23, 1962. Final judgment by consent as to all
defendants entered Feb. 2, 1962. Closed.

Summons and complaint filed Jan. 16, 1961. Final judgment by consent
entered as to 3 defendants Feb. 8, 1961. Final judgment entered as to I
entered as to 1

defendant Sept. 19, 1961. Pending as to 1 defendant.
Final compliance order by consent, Mar. 22, 1958. Order Mar. 26, 1958,
granting application for amendment of Exhibit A to Interlocutory Order
dated Apr. 29, 1955. Amended compliance order, May 8, 1958. Closed.

Complaint filed July 21, 1961. Final judgment as to 1 defendant entered
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.
Summons and complaint filed June 5, 1962. Final judgment as to all de-
fendants entered June 28, 1962. Closed.

Complaint filed July 27, 1960. Preliminary injunction as to all defendants
entered Aug. 15, 1960. Final judgment by consent as to 2 defendants en-
tered Nov. 22, 1960. Default judgment as to 3 defendants entered Dec.
12, 1960. Pending as to remaining defendant.
Complaint filed Mar. 30, 1962. Receiver appointed Apr. 2, 1962. Prelimi-
nary injunction by consent entered Apr. 5, 1962. Petition and order en-
larging receiver's powers Apr. 27, 1962. Pending.

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

Donald J, Hinkley &
Co.

Colorado..

July 20, 1961

Secs. 5(a), 5(c) and 17(a),
1933 Act; Secs. 15(c) (1)
and 15 (c) (3), 1934 Act; and
Rules 15cl-2 and 15c3-1,
1934 Act.
Secs. 15(c) (1), 15(c)(3) and
Rules 15cl-2 and 15c3-1,
1934 Act.

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

Nov. 15, 1960 Secs. 5(a), 5 (c) and 17(a), 1933
Act; Sec. 15(a), 1934 Act.

Complaint and request for the appointment of a receiver filed July 20, 1961.
Order entered appointing receiver. Final judgment by consent as to
both defendants entered Oct. 11, 1961. Company liquidated by receiver.
Closed.

Preliminary injunction as to both defendants entered Aug. 3, 1960. Answer
filed Aug. 8, 1960. Pending.

Complaint and request for the appointment of a receiver filed July 25, 1961,
Final judgment by consent entered as to all defendants and receiver ap-
pointed July 28, 1961. Pending.

Complaint and request for the appointment of a receiver filled Nov. 15, 1960.
Preliminary injunction entered Dec. 14, 1960. Receiver appointed Mar.
9, 1961. Pending.

Complaint filed Sept. 14, 1961. Final judgment by consent as to all defend-
ants entered Sept. 29, 1961. Closed.

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.

Secs. 5(a) and (c) and 17(a), Final judgment by consent as to 3 defendants and dismissal as to 1 defendant
1933 Act.
entered Dec. 13, 1960. Final judgment by consent as to remaining defend-
ant entered Oct. 4, 1961. Closed.

Sept. 14, 1961
Feb. 11, 1960

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

Mar. 2, 1960

Investment Brokers of
New Jersey, Inc.

New Jersey.

Mar. 2, 1960

Jacoby & Co., Inc...

Southern District

of California.

Secs. 15(c) (1), 15(c) (2) and
17(a) and Rules 15c1-2,
15c3-1 and 17a-3, 1934 Act.
Jan. 11, 1961 Sec. 15 (c) (3) and Rule
15c3-1, 1934 Act.

Complaint filed Mar. 2, 1960. Preliminary injunction by consent signed
Mar. 30, 1960. Order entered approving final report of receiver and dis-
charging him upon filing a supplemental final report, June 26, 1961.
Receiver's supplemental final report filed, July 14, 1961. Pending.
Complaint filed Jan. 11, 1961. Order to show cause and temporary restrain-
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, filed July 12, 1962. Pending.

Summons and complaint filed June 20, 1962. Temporary restraining order
signed June 20, 1962. Pending.co

Secs. 5 and 17(a), 1933 Act... Final judgment by consent as to 1 defendant entered as to Sec. 5, 1933 Act,
Mar. 3, 1961. Default judgment entered Aug. 29, 1961, enjoining 1 de-
fendant as to Secs. 5 and 17(a) of 1933 Act. Pending as to remaining
defendants.
filed Jan. 19, 1962. Final

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

May 15, 1961

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

Complaint and request for the appointment of a receiver filed May 15, 1961. Final judgment entered by the court as to 2 defendants Oct. 6, 1961, and permanent co-receivers appointed. Pending.

1933 Act.

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

Kormel, Inc...

La Force, Inc.

4 | Nevada.

June 12, 1961

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

J. H. Lederer Co., Inc..

Vermont.. Southern District of New York.

July 6, 1961
Dec. 9, 1958

Secs. 5(b) (1) and (2), 10,
17(a) (1), (2) and (3), 1933
Act.

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

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

Sec. 15(c) (1), and Rule
15c1-2, 1934 Act.

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

Complaint filed June 12, 1961. Final judgment by consent as to all defend-
ants entered Sept. 27, 1961. Closed.
Complaint filed July 6, 1961. Final judgment by consent as to both defend-
ants entered Oct. 18, 1961. Closed.

Final judgment by consent as to 2 defendants entered Dec. 19, 1958. Order
entered dismissing action as to 1 defendant Dec. 21, 1961. Order directing
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.
Complaint filed May 12, 1961. Final judgment as to both defendants
entered Sept. 7, 1961. Closed.

Complaint filed June 8, 1962. Final judgment by consent entered June 18,
1962. Closed.

Findings of fact and conclusions of law and order denying preliminary
injunction on condition that defendants not engage in securities business
pending outcome of administrative proceeding. Pending.

Summons and complaint filed Apr. 27, 1962. Preliminary injunction
entered May 31, 1962, as to all defendants. Pending.

Complaint and request for the appointment of a receiver filed Oct. 11, 1961.
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.
Order of dismissal as to all defendants entered Jan. 30, 1962. Closed.

Secs. 5 (a) and (c), 1933 Act. Complaint filed Mar. 30, 1962. Preliminary injunction enjoining 3 defend-
ants Apr. 19, 1962. Final judgments by consent as to 7 defendants
entered Apr. 24, 1962. Pending as to remaining 2 defendants.

Secs. 15(c)(1), 15(c)(2),
15(c)(3), and 17(a) and
Rules 15c1-2, 15c3-1, 15c2-
4, 17a-5 and 17a-3, 1934
Act.

Secs. 5(a) and 5(c), 1933 Act.
Sec. 17(a) and Rules 17a-3
and 178-4, 1934 Act.

Sec. 17(a), 1933 Act; Sec.
15(c) (1), 1934 Act.

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

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

Complaint filed May 28, 1962. Final judgment by consent as to 3 defend-
ants entered June 1, 1962. Stipulation dismissing action as to 1 defendant,
June 11, 1962. Closed.

Complaint filed July 18, 1961. Final judgment by consent as to both
defendants entered July 18, 1961. Closed.

Summons and complaint filed Jan. 27, 1961. Preliminary injunction
signed as to both defendants. Stipulation of dismissal as to both defend-
ants filed Dec. 26, 1961. Closed.
Complaint filed July 3, 1961. Preliminary injunction as to all defendants
entered July 19, 1961. Pending.
Complaint filed Dec. 7, 1961.
1961. Closed.

Final judgment by consent entered Dec. 7,

Final judgment by consent as to all defend-
ants entered Mar. 8, 1962. Closed.
Summons and complaint filed Aug. 11, 1961. Final judgment by consent
as to all defendants entered Oct. 10, 1961. Closed.

672175-63

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