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

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

Secs. 5(a)(1) and (2) and
17(a) (1), (2), and (3),
1933 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) and Rule 17a-3,

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Summons, complaint and request for the appointment of a receiver filed May 1, 1962. Answers filed. Pending.

Final judgment by consent as to both defendants entered Apr. 6, 1962.
Closed.

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.

Complaint filed June 15, 1962. Final judgment by consent as to both
fendants entered June 15, 1962. Closed. perfor

Complaint filed Mar. 9, 1962. Final judgment by consent as to both defend-
ants entered Mar. 9, 1962. Closed.

Complaint filed Mar. 29, 1962. Final judgments by consent entered Apr.
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.

Preliminary injunction by consent entered

Final judgment by consent entered June 5,

Final judgments by consent as to 4 defendants entered Jan. 19, 1959; as to
2 defendants Sept. 1, 1959; as to 9 defendants Apr. 7, 1961, and as to 1 de-
fendant Jan. 1962. Order dismissing as to remaining 27 defendants en-
tered Jan. 31, 1962. Pending as to receiver.

Summons, complaint and request for the appointment of a receiver filed
June 15, 1962. Temporary restraining order signed June 15, 1962. Pend-
ing.

Summons and complaint filed Mar. 16, 1961.
as to 1 defendant entered Nov. 30, 1961.
defendant.

Final judgment by consent as to 3 defendants and receiver appointed
Feb. 26, 1960. Final judgment by consent as to remaining defendants
for violations of Sec. 5 of 1933 Act, Mar. 22, 1960. Pending as to receiver.
Preliminary injunction entered Feb. 3, 1958. Pending.

Complaint filed Oct. 5, 1961. fendants entered Oct. 30, 1961.

Final judgment by consent as to both deClosed.

Miller, Sidney..

2

Southern District of New York.

Mono-Kearsarge Con

7

Utah.

May 24, 1960 June 2, 1958

solidated Mining Co.

Raymond Moore & Co.

2

Motors Insurance In

2

vestment Corp.

Southern District of California. Northern District of Texas.

Mountain States Pe

9

Utah...

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Feb. 13, 1960

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Pruett & Company,
Inc.

3

Northern District May 15, 1961 of Georgia.

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

Sec. 17(a), 1933 Act.

Sec. 15(c) (3), and Rule 15c31, 1934 Act.

Secs. 17(a) (2), 17(a) (3), 1933
Act; Secs. 15(c) (1), 15(c) (3),
10(b), 17(a) and Rules
15c1-2, 15c3-1, 10b-5 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.
Apr. 29, 1958 Sec. 17(a), 1933 Act..

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Jan. 20, 1960

Webster Securities

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Oct. 20, 1960
Apr. 7, 1961

Inc.

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Mar. 20, 1962

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June 30, 1959

Feb. 15, 1960

Sheppard, Oscar R. dba O. R. Sheppard and Co.

Feb. 7, 1962

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

Secs. 15(c) (3), 17(a) and
Rules 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.

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

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

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

Nov. 15, 1960 Secs. 15(c)(3) and 17(a) and
Rules 15c3-1 and 17a-3,
1934 Act.

1 District of Columbia.

May 26, 1962

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

Mandatory judgment by consent as to 2 defendants entered May 4, 1959.
Pending.

Complaint filed Mar. 19, 1962. Final judgment by consent as to all de-
fendants entered Mar. 20, 1962. Closed.

Summons and complaint filed Apr. 24, 1962. Preliminary injunction as to
all defendants entered May 16, 1962. Pending.

Compliant filed, receiver appointed and final judgment by consent as to 1
defendant entered Aug. 11, 1961. Order entered Jan. 9, 1962, discharging
receiver. Closed.

Complaint and request for the appointment of a receiver filed May 15,
1961. Final judgment by consent entered as to all defendants and
receiver appointed May 15, 1961. Pending.

Complaint filed Jan. 20, 1960. Final judgment by consent as to both
defendants entered Mar. 1, 1962. Closed.

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.

Summons and complaint filed Oct. 20, 1960. Default judgment as to 3
defendants entered Mar. 21. 1961. Pending as to remaining defendant.
Summons and complaint filed Apr. 7, 1961. Opinion rendered May 15,
1961, denying plaintiff's motion for preliminary injunction. Pending.

Complaint and request for the appointment of a receiver filed Mar. 20, 1962.
Final judgment by consent enjoining both defendants and order appoint-
ing a receiver entered Mar. 20, 1962. Pending.

Complaint filed Feb. 7, 1962. Final judgment by consent as to all de-
fendants entered Mar. 23, 1962. Closed.

Final judgment by consent entered as to both defendants and receiver
appointed July 1, 1959. Pending as to receiver.

Summons, complaint and request for the appointment of a receiver filed
Feb. 15, 1960. Stipulation of dismissal as to all defendants filed Mar. 13,
1962. Closed.
Summons and complaint filed Nov. 15, 1960. Amended complaint adding
additional violations and request for the appointment of a receiver filed.
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.

Complaint filed May 26, 1962. Plaintiff's motion for appointment of
receiver denied. Final judgment by consent entered May 26, 1962.
Closed.

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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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Shiels Securities, Inc...

4 Oregon..

Apr. 18, 1961

Sec. 17(a), 1933 Act..

H. S. Simmons & Co.,
Inc.

2

Southern District
of New York.

Jan.

6, 1961

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Secs. 15(c) (1), 15(c) (3), 10(b)
and Rule 15c1-2, 15c3-1
and 10b-5, 1934 Act.
Mar. 14, 1962 Secs. 17(a) (2), and 17(a) (3),
1933 Act; Secs. 8(c)(2),
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.
Secs. 17(a), 15(b) and Rules
15b-2 and 17a-3, 1934 Act.

Dec. 6, 1960
Mar. 1, 1962
Mar. 30, 1961

Southwell, Robert J.

1

New Jersey

Aug. 26, 1960

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Massachusetts..

Apr. 4, 1962

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Apr. 16, 1962

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

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

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

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

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.

Summons, complaint and request for the appointment of a receiver filed
Jan. 6, 1961. Preliminary injunction and appointment of a receiver
entered Jan. 23, 1961. Pending.

Complaint filed Mar. 14, 1962. Final judgment by consent entered Apr.
12, 1962. Closed.

Summons and complaint filed Aug. 26, 1960. Final judgment by consent
entered June 15, 1962. Closed.

Complaint filed Apr. 4, 1962. Final judgment by consent as to 2 defendants
entered Apr 16, 1962. Final judgment as to 1 defendant entered June
18, 1962. Pending.
Complaint filed Apr. 16, 1962. Final judgment by consent as to both
defendants entered Apr. 21, 1962. Closed.

Summons and complaint filed Dec. 6, 1960. Pending.

Complaint filed Mar. 1, 1962. Final judgment by consent as to all defend-
ants entered Apr. 16, 1962.

Final judgment by consent entered May 24, 1961. Pending as to receiver-
ship.

Final judgment by consent as to 8 defendants on various dates. Notice of
dismissal as to 12 defendants filed Nov. 30, 1961. Closed.

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.

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

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Complaint filed July 17, 1961. Order entered dismissing action as to 1 de-
fendant and final judgment by consent enjoining remaining 5 defendants
entered Aug. 2, 1961. Closed.

Complaint and request for the appointment of a receiver filed June 25, 1962.
Temporary restraining order entered June 26, 1962. Pending.
Complaint filed Jan. 23, 1961.
ants filed on various dates.
defendant filed Sept. 1, 1961.

Final judgments by consent as to 6 defend-
Final judgment by consent as to remaining
Closed.

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Dec. 8, 1961 Secs. 15(c) (1), 15(c)(3) and
17(a), and Rules 15c1-2,
15c3-1 and 17a-3, 1934 Act.
Secs. 17(a) (2) and 17(a) (3),
1933 Act.

July 24, 1961
June 22, 1962
Mar. 29, 1962
Sept. 28, 1960

Vincent Associates,

2

..do.

Ltd. and Vincent

Agostino.

Mulford Wakeman &

2

Co., Inc.

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June 5, 1962
June 7, 1962
Nov. 22, 1961

Co.

World Land Corp..

11

Colorado..

Benjamin Zwang & Co., Inc.

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

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

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

Sec.s 15(a) and 17(a), Rule
17a-3, 1934 Act.

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

Apr. 12, 1962 Secs. 5(a) and 5(c) and Sec.

Final judgments by consent as to 5 defendants entered May 31, 1961.
Dismissal as to remaining defendants entered May 31, 1961. Order
entered appointing interim board of directors. Pending.

Final judgment by consent as to 2 defendants entered Mar. 18, 1958. Re-
maining corporate defendant dismissed without prejudice Apr. 20, 1962.
Closed.

Mandatory injunction entered Jan. 26, 1962. Appeal filed Mar. 22, 1962.
Pending.

Notice of appeal filed Jan. 12, 1959, by Commission from the order of the
district court denying permanent injunction Jan. 6, 1959. Pending.
Summons and complaint filed Feb. 6, 1961. Amended complaint filed Feb.
14, 1961, seeking additional violations of Sec. 15(c) (1) and Rule 15c1-2 of
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. Permanent injunction by default entered as to all defendants,
Dec. 1, 1961. Pending as to receiver.

Summons and complaint filed Dec. 21, 1961. Amended complaint filed.
Final judgment by default as to both defendants entered Mar. 7, 1962.
Closed.

Complaint and request for the appointment of a receiver filed Dec. 8, 1961.
Final judgment by consent as to both defendants, and order appointing
receiver entered Dec. 11, 1961. Pending.

Summons and complaint filed July 24, 1961. Answer filed. Pending.

Pending.

Complaint filed June 22, 1962. Complaint filed Mar. 29, 1962. Final judgment by consent as to all defend ants entered Apr. 26, 1962, Closed. Summons and complaint filed Sept. 28, 1960. Final judgment by consent as to all defendants entered Dec. 28, 1961. Summons and complaint filed June 5, 1962. Final judgment by consent as to all defendants entered June 28, 1962. Summons and complaint filed June 7, 1962.

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Complaint filed Nov. 22, 1961. Final judgments by consent entered Feb. 22, 1962, as to 1 defendant and May 16, 1962, as to the remaining defendant. Closed.

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2 Southern District Sept. 27, 1956 Sec. 15(c)(3) and Rule Note of issue filed Aug. 6, 1958. Pending. of New York. 15c3-1, 1934 Act.

Final judgments by consent Pending as to remaining de

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

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Status of case

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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