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

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Minnesota

May 1, 1962 Secs. 17(a), 17(d) and 17(e) Summons, complaint and request for the appointment of a receiver filed

and Rules 17d-1, and Sec. May 1, 1962. Answers filed. Pending.
20(a), Sec. 36 and Rule
20a-1, Inv, Co. Act of
1940; and Rules 14a-3,
14a-6 and 14a-9 of Regula-

tion 14.
Southern District May 24, 1960 Sec. 17(a) and Rule 17a-3, Final judgment by consent as to both defendants entered Apr. 6, 1962.
of New York.

1934 Act.

Closed
Utah.
June 2, 1958 Sec. 5(a) and (c), 1933 Act.. Final judgments by consent entered July 17, 1958, as to 1 defendant and

Aug. 25, 1958, as to 1 defendant. Final judgment by the court as to 3 de-
fendants entered Oct. 21, 1958. Order entered dismissing action as to 2

defendants June 28, 1962. Closed.
Southern District June 15, 1962 Sec, 15(c)(3) and Rule 1503– Complaint filed June 15, 1962. Final judgment by consent as to both de-
of California.

1, 1934 Act.

fendants entered June 15, 1962. Closed.
Northern District Mar. 9, 1962 Secs. 3(a)(1), 5(a)(2) and Complaint filed Mar. 9, 1962. Final judgment by consent as to both defend-
of Texas.

8(c), 1933 Act.

ants entered Mar. 9, 1962. Closed. Utah....

Mat. 29, 1962 Secs. 5(a) and 5(c) and 17(a), Complaint filed Mar. 29, 1962. Final judgments by consent entered Apr. 1933 Act.

17, 1962, as to 4 defendants and Apr. 27, 1962, as to 4 defendants. Order
dismissing as to 1 defendant without prejudice entered June 28, 1962.

Closed
Arizona.

Aug. 2, 1961 Secs. 17(a)(2) and 17(a)(3), Complaint filed Aug. 2, 1961. Preliminary injunction by consent entered
1933 Act.

Sept. 5, 1961, as to all defendants. Pending.
Northern District June 5, 1962 Secs. 5(a)(1), 5(a)(2) and Complaint filed June 5, 1962. Final judgment by consent entered June 5,
of Texas.

5(c), 1933 Act.

1962. Closed New Jersey. Dec. 30, 1958 Secs. 5(a)(1) and (2) and Final judgments by consent as to 4 defendants entered Jan. 19, 1969; as to

17(a) (1), (2), and (3), 2 defendants Sept. 1, 1959; as to 9 defendants Apr. 7, 1961, and as to 1 de1933 Act,

fendant Jan. 1962. Order dismissing as to remaining 27 defendants en

tered Jan. 31, 1962. Pending as to receiver.
Southern District June 15, 1962 Secs. 15(e)(1), 15(e)(3) and Summons, complaint and request for the appointment of a receiver filed
of New York.

17(a) and Rules 1501-2, June 15, 1962.' Temporary restraining order signed June 15, 1962. Pend

1503-1 and 17a-3, 1934 Act. ing. .do. Mar. 16, 1961 Sec. 17(a) and Rule 17a-3, Summons and complaint filed Mar. 16, 1961. Final judgment by default 1934 Act.

as to 1 defendant entered Nov. 30, 1961. Pending as to remaining

defendant.
do.
Feb. 13, 1960 Secs. 5 and 17(a), 1933 Act; Final judgment by consent as to 3 defendants and receiver appointed

Sec. 10(b) and Rule 10b-6, Feb. 26, 1960. Final judgment by consent as to remaining defendants
1934 Act.

for violations of Sec. 5 of 1933 Act, Mar. 22, 1960. Pending as to receiver.
...do

Nov. 7, 1957 Sec. 15(c)(3) and Rule 15c3- Preliminary injunction entered Feb. 3, 1958. Pending.

1, 1934 Act. Massachusetts. Oct. 5, 1961 Secs. 5(a), 5(c) and 17(a), Complaint Aled Oct. 5, 1961. Final judgment by consent as to both de

1933 Act.

fendants entered Oct. 30, 1961. Closed.

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5 Southern District Apr. 2, 1969 | Sec. 15(d), 1934 Act. Mandatory judgment by consent as to 2 defendants entered May 4, 1950. of New York.

Pending, 4 Eastern District Mar. 19, 1962 Secs. 5 (a) and (c) and 17(a), Complaint filed Mar. 19, 1962. Final judgment by consent as to all deof Michigan,

1933 Act.

fendants entered Mar. 20, 1962. Closed.
10
New Jersey... Apr. 24, 1962 Sec. 17(a), 1933 Act.. Summons and complaint nied Apr. 24, 1962. Preliminary injunction as to

all defendants entered May 16, 1962. Pending.
1 Western District Aug. 11, 1961 Sec. 15) (3), and Rule 15c3- | Compliant filed, receiver appointed and final judgment by consent as to 1
of Pennsylvania.

1, 1934 Act.

defendant entered Aug. 11, 1961. Order entered Jan. 9, 1962, discharging

receiver. Closed,
3 Northern District May 15, 1961 Secs. 17(a) (2), 17(a)(3), 1933 Complaint and request for the appointment of a receiver filed May 15,
of Georgia.

Act; Secs.

15(c) (i), 15(c)(3), 1961. Final judgment by consent entered as to all defendants and
10(b), 17(a) and Rules receiver appointed May 15, 1961. Pending.
1501-2, 15c3-1, 10b-5 and

17a-3, 1934 Act.
2 Southern District Jan, 20, 1960 Secs. 15(c)(1), 15(c)(3) and Complaint filed Jan. 20, 1960. Final judgment by consent as to both
of New York.

17(a) and Rules 15c1-2, defendants entered Mar. 1, 1962. Closed.

15c3-1 and 17a-3, 1934 Act.
15 ---.do.
Apr. 29, 1958 Sec. 17(a), 1933 Act--

Final judgment as to 1 defendant entered Jan. 27, 1960 and action dismissed

as to 9 defendants. On Sept. 19, 1961, the district court dismissed the
complaint as to 4 defendants for failure of proof. On Oct. 18, 1961, a
notice of appeal from the judgment of the district court was filed. On
Jan. 24, 1962, action as to 1 defendant dismissed by stipulation. Opinion
rendered June 21, 1962, reversing and remanding for further proceedings
as to 1 defendant and issuance of permanent injunction as to 2 defendants.

Pending as to 4 defendants.
...do

Oct. 20, 1960 Sec. 17(a) and Rule 178-3, | Summons and complaint filed Oct. 20, 1960. Default judgment as to 3 1934 Act.

defendants entered Mar. 21. 1961. Pending as to remaining defendant. 2 .do.

Apr. 7, 1961 Secs. 15(c)(3), 17(a) and Summons and complaint filed Apr. 7, 1961. Opinion rendered May 15,

Rules 15c3-1 and 17a-3, 1961, denying plaintiff's motion for preliminary injunction. Pending.

1934 Act.
2 Eastern District Mar. 20, 1962 Secs. 15(c)(1), 15(c)(3) and Complaint and request for the appointment of a receiver filed Mar. 20, 1962.
of New York.

17(a) and Rules 15c1-2, Final judgment by consent enjoining both defendants and order appoint-
15c3-1 and 17a-3, 1934 ing a receiver entered Mar. 20, 1962, Pending.

Act.
3 Massachusetts... Feb. 7, 1962 Secs. 5(a), 5(c) and 17(a), Complaint filed Feb. 7, 1962. Final judgment by consent as to all de-

1933 Act.

fendants entered Mar. 23, 1962. Closed.
2 Southern District June 30, 1959 Secs. 15(c)(1) and 15(c)(3) Final judgment by consent entered as to both defendants and receiver
of New York.

and Rules 15c1-2 and 15c3

appointed July 1, 1959. Pending as to receiver.

1, 1934 Act.
3 Eastern District Feb. 15, 1960 Secs. 15(c)(1), 15(c)(3) and Summons, complaint and request for the appointment of a receiver filed
of New York.

Rules 15c1-2 and 1503-1, Feb. 15, 1960. Stipulation of dismissal as to all defendants filed Mar. 13,
1934 Act.

1962. Closed.
Southern District Nov. 15, 1960 Secs. 15(c)(3) and 17(a) and Summons and complaint filed Nov. 15, 1960. Amended complaint adding
of New York.

Rules 15c3-1 and 17a-3, additional violations and request for the appointment of a receiver filed.
1934 Act.

Stipulation consenting to withdrawal of motion for receiver filed. Final
judgment by consent as to 2 defendants entered Apr. 24, 1961. Pending

as to remaining defendants. 1 District of

May 26, 1962 Secs. 15(c)(3) and 17(a) and Complaint filed May 26, 1962. Plaintiff's motion for appointment of Columbia.

Rules 15c3-1 and 17a-3, receiver denied. Final judgment by consent entered May 26, 1962. 1934 Act.

Closed.

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

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4 Oregon Apr. 18, 1961 Sec. 17(a), 1933 Act.

Complaint and motion for preliminary injunction filed Apr. 18, 1961. An

swer filed May 10, 1961. Stipulation and order entered Oct. 23, 1961,
staying proceedings pending final determination of administrative pro

ceedings. Pending.
2 Southern District Jan. 6, 1961 Secs. 15(c)(1), 15(c)(3), 10(b) | Summons, complaint and request for the appointment of a receiver flled
of New York.

and Rule 15c1-2, 15c3-1 Jan. 6, 1961. Preliminary injunction and appointment of & receiver
and 10-5, 1934 Act.

entered Jan. 23, 1961. Pending.
1 Western District Mar. 14, 1962 Secs. 17(a) (2), and 17(a)(3), Complaint filed Mar. 14, 1962. Final judgment by consent entered Apr.
of Texas.

1933 Act; Secs. 8(c)(2), 12, 1962. Closed.
8(d), 10(b), 15(b), 15 (c) (1),
15(c)(3), 17(a) and Rules
8c-1(a) (3), 10b-5, 15b-2(b),
15c1-2(a), 15c3-1 and 17a-

3, 1934 Act.
1 New Jersey. Aug. 26, 1960 Secs. 17(a), 15(b) and Rules Summons and complaint filed Aug. 26, 1960. Final judgment by consent

15b-2 and 17a-3, 1934 Act. entered June 15, 1962. Closed.
3 Massachusetts... Apr. 4, 1962 Secs. (5(a) and 17(a), 1933 Complaint filed Apr. 4, 1962. Final judgment by consent as to 2 defendants

Act.

entered Apr 16, 1962. Final judgment as to 1 defendant entered June

18, 1962. Pending.
2 Southern District Apr. 16, 1962 Sec. 17(a)(2), 1933 Act; Secs. Complaint filed Apr. 16, 1962. Final judgment by consent as to both
of Mississippi.

15(a) and 15(c)(1) and defendants entered Apr. 21, 1962. Closed.

Rule 15c1-2, 1934 Act.
3 Northern District Dec. 6, 1960 Secs. 5(a) and 5 (c), 1933 Act. Summons and complaint filed Dec. 6, 1960. Pending.

of California,
Northern District Mar. 1, 1962 Secs. 5(a) and 5(c), 1933 Act. Complaint filed Mar. 1, 1962. Final judgment by consent as to all defend-
of Indiana.

ants entered Apr. 16, 1962.
1 Western District Mar. 30, 1961 Secs. 15(c)(1), 15(c)(3) and Final judgment by consent entered May 24, 1961. Pending as to receiver-
of Pennsylva-

17(a) and Rules 15c1-2, ship.
nia.

15c3-1 and 17a-3, 1934 Act.
20 Southern District | Aug. 2, 1957 Secs. 5(a) (1), (2) and 5(c), Final judgment by consent as to 8 defendants on various dates. Notice of
of New York.

1933 Act.

dismissal as to 12 defendants flled Nov. 30, 1961. Closed,
7 do.
Jan. 28, 1959 Sec. 17(a), 1933 Act.

Final judgments by consent entered Jan. 6, 1961, as to 2 defendants and Apr.

5, 1962, as to 2 defendants. Pending as to remaining defendants.
3 do.

Aug. 18, 1959 Sec. 17(a), 1933 Act; Sec. Final judgments by consent entered Oct. 18, 1961, as to 1 defendant and Nov.
10(b), 1934 Act.

1, 1961, as to 2 defendants. Closed.
6 Southern District July 17, 1961 Sec. 15 (a), 1934 Act.

Complaint filed July 17, 1961. Order entered dismissing action as to 1 deof Texas.

fendant and final judgment by consent enjoining remaining 5 defendants

entered Aug. 2, 1961. Closed
3 Colorado.

June 25, 1962 Secs. 5(a), 5(c) and 17(a), Complaint and request for the appointment of a receiver fled June 25, 1962.
1933 Act.

Temporary restraining order entered June 26, 1962. Pending. 7 Nevada

Jan. 23, 1961 Secs. 5(a), 5(c) and 17(a), Complaint filed Jan. 23, 1961. Final judgments by consent as to 6 defend. 1933 Act.

ants filed on various dates. Final judgment by consent as to remaining defendant filed Sept. 1, 1961. Closed.

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14 New Jersey Apr. 24, 1961 Secs. 7, 12, 18, 20, 21, 30, 34, Final judgments by consent as to 8 defendants entered May 31, 1961.

36, 48 and Rule 30d-1 Inv. Dismissal as to remaining defendants entered May 31, 1961. Order Co. Act of 1940.

entered appointing interim board of directors. Pending. 3 Western District Mar. 18, 1968 Secs. 5(a) and (c) and 17(a), Final judgment by consent as to 2 defendants entered Mar. 18, 1958. Reof Washington.

1933 Act.

maining corporate defendant dismissed without prejudice Apr. 20, 1962.

Closed
8 Eastern District May 22, 1961 Sec. 18(d), 1934 Act... Mandatory injunction entered Jan. 26, 1962. Appeal filed Mar, 22, 1962.
of Missouri

Pending.
1 Southern District | Oct. 18, 1957 | Sec. 15(c)(3) and Rule Notice of appeal filed Jan. 12, 1959, by Commission from the order of the
of New York.

1503-1, 1934 Act.

district court denying permanent injunction Jan. 6, 1959. Pending.
..do.
Feb. 6, 1961 Secs. 15(c) (3),15(c)(1), 17(a) Summons and complaint filed Feb. 6, 1961. Amended complaint filed Feb.

and Rules 15c3-1, 15c1-2 14, 1961, seeking additional violations of Sec. 15(c)(1) and Rule 15c1-2 of
and 178-3, 1934 Act.

1934 Act, and for an order appointing a receiver. Order of preliminary
injunction entered Mar. 27, 1961, and receiver appointed Mar. 30, 1961.
Court enlarged receiver's powers and directed him to liquidate corporate
defendant. Permanentinjunction by default entered as to all defendants,

Dec. 1, 1961. Pending as to receiver.
2 ...do.
Dec. 21, 1961 Sec. 17(a), 1934 Act.

Summons and complaint filed Dec. 21, 1961. Amended complaint filed.

Final judgment by default as to both defendants entered Mar. 7, 1962.

Closed.
2 District of

Dec. 8, 1961 Secs. 15(c)(1), 15(c)(3) and Complaint and request for the appointment of a receiver filed Dec. 8, 1961.
Columbia.

17(a), and Rules 1501-2, Final judgment by consent as to both defendants, and order appointing

15c3-1 and 17a-3, 1934 Act. receiver entered Dec. 11, 1961. Pending. 2 Nevada.

July 24, 1961 Secs. 17(a)(2) and 17(a)(3), Summons and complaint filed July 24, 1961. Answer filed. Pending.

1933 Act.
Utah.

June 22, 1962 Secs. 5(a) and 5(c), 1933 Act. Complaint filed June 22, 1962. Pending.
Northern District Mar. 29, 1962 Secs. 6(a)(1), 6(a)(2) and Complaint filed Mar. 29, 1962. Final judgment by consent as to all defend
of Texas.

6(c), 1933 Act.

ants entered Apr. 26, 1962. Closed. 3 Southern District Sept. 28, 1960 Sec. 15(c)(3) and Rule 15c3 Summons and complaint filed Sept.

28, 1960. Final judgment by consont of New York.

1, 1934 Act.

as to all defendants entered Dec. 28, 1961. Olosed.
3 Northern District June 5, 1962 Secs. 5(a) and (c), 1933 Act. Summons and complaint filed June 5, 1962. Final judgment by consent
of California.

as to all defendants entered June 28, 1962. Closed
3 Southern District June 7, 1962 Sec.s 15(a) and 17(a), Rule Summons and complaint filed June 7, 1962. Pending.
of New York.

178-3, 1934 Act.
2 Western District Nov. 22, 1961 Secs. 5(a), 5(c) and 17(a)(2), Complaint filed Nov. 22, 1961. Final judgments by consent entered Feb.
of Texas.

1933 Act; Secs. 15(c) (1), 22, 1962, as to 1 defendant and May 16, 1962, as to the remaining defendant.
15(c)(3) and 17(a) and Closed.
Rules 15c1-2, 15c3-1 and

178-3, 1934 Act.
11 Colorado.

Apr. 12, 1962 Secs. 5(a) and 5(c) and Sec. Complaint filed Apr. 12, 1962. Final judgments by consent as to 5 defend.
17(a), 1933 Act.

ants entered Apr. 27, 1962. Answers iled. Final judgments by consent
as to 2 defendants entered June 18, 1962. Pending as to remaining de-

fendants.
2 Southern District Sept. 27, 1966 Sec. 15(c)(3) and Rule Note of issue filed Aug. 6, 1958. Pending.
of New York,

1503-1, 1934 Act.

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TABLE 18.—Proceedings by the Commission to enforce subpoenas pending during the fiscal year ended June 30, 1962

Principal defendants

Number

Initiating of de U.S. District Court papers filed fendants

Sections of act involved

Status of case

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Order Sept. 21, 1961, directing respondent to show cause why an order

should not issue requiring compliance with subpoena. Pending.
Order June 13, 1962, directing respondent to show cause why order should

not issue requiring compliance with subpoena. Order to show cause
returnable July 5, 1962. Pending.

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