TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1962-Con. Secs. 17(a) (2) and 17(a) (3), Secs. 5(a)(1), 5(a) (2) and Secs. 5(a)(1) and (2) and Secs. 15(c) (1), 15(c)(3) and 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. Final judgments by consent entered July 17, 1958, as to 1 defendant and Complaint filed June 15, 1962. Final judgment by consent as to both Complaint filed Mar. 9, 1962. Final judgment by consent as to both defend- Complaint filed Mar. 29, 1962. Final judgments by consent entered Apr. 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 Summons, complaint and request for the appointment of a receiver filed Summons and complaint filed Mar. 16, 1961. Final judgment by consent as to 3 defendants and receiver appointed 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... Feb. 13, 1960 Pruett & Company, 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 Jan. 20, 1960 Webster Securities Oct. 20, 1960 Inc. Mar. 20, 1962 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, Secs. 15(c) (3), 17(a) and Secs. 15(c) (1), 15(c) (3) and 17(a) and Rules 15c1-2, Secs. 5(a), 5(c) and 17(a), Secs. 15(c) (1) and 15(c) (3) Secs. 15(c) (1), 15(c)(3) and Nov. 15, 1960 Secs. 15(c)(3) and 17(a) and 1 District of Columbia. May 26, 1962 Secs. 15(c) (3) and 17(a) and Mandatory judgment by consent as to 2 defendants entered May 4, 1959. Complaint filed Mar. 19, 1962. Final judgment by consent as to all de- Summons and complaint filed Apr. 24, 1962. Preliminary injunction as to Compliant filed, receiver appointed and final judgment by consent as to 1 Complaint and request for the appointment of a receiver filed May 15, Complaint filed Jan. 20, 1960. Final judgment by consent as to both Final judgment as to 1 defendant entered Jan. 27, 1960 and action dismissed Summons and complaint filed Oct. 20, 1960. Default judgment as to 3 Complaint and request for the appointment of a receiver filed Mar. 20, 1962. Complaint filed Feb. 7, 1962. Final judgment by consent as to all de- Final judgment by consent entered as to both defendants and receiver Summons, complaint and request for the appointment of a receiver filed Complaint filed May 26, 1962. Plaintiff's motion for appointment of TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1962-Con. Shiels Securities, Inc... 4 Oregon.. Apr. 18, 1961 Sec. 17(a), 1933 Act.. H. S. Simmons & Co., 2 Southern District Jan. 6, 1961 Secs. 15(c) (1), 15(c) (3), 10(b) Dec. 6, 1960 Southwell, Robert J. 1 New Jersey Aug. 26, 1960 Massachusetts.. Apr. 4, 1962 Apr. 16, 1962 Secs. (5(a) and 17(a), 1933 Sec. 17(a) (2), 1933 Act; Secs. Secs. 15 (c) (1), 15(c) (3) and 17(a) and Rules 15c1-2, Sec. 17 (a), 1933 Act. Complaint and motion for preliminary injunction filed Apr. 18, 1961. An- Summons, complaint and request for the appointment of a receiver filed Complaint filed Mar. 14, 1962. Final judgment by consent entered Apr. Summons and complaint filed Aug. 26, 1960. Final judgment by consent Complaint filed Apr. 4, 1962. Final judgment by consent as to 2 defendants Summons and complaint filed Dec. 6, 1960. Pending. Complaint filed Mar. 1, 1962. Final judgment by consent as to all defend- Final judgment by consent entered May 24, 1961. Pending as to receiver- Final judgment by consent as to 8 defendants on various dates. Notice of Final judgments by consent entered Jan. 6, 1961, as to 2 defendants and Apr. Sec. 17(a), 1933 Act; Sec. Final judgments by consent entered Oct. 18, 1961, as to 1 defendant and Nov. Complaint filed July 17, 1961. Order entered dismissing action as to 1 de- Complaint and request for the appointment of a receiver filed June 25, 1962. Final judgments by consent as to 6 defend- Dec. 8, 1961 Secs. 15(c) (1), 15(c)(3) and July 24, 1961 Vincent Associates, 2 ..do. Ltd. and Vincent Agostino. Mulford Wakeman & 2 Co., Inc. June 5, 1962 Co. World Land Corp.. 11 Colorado.. Benjamin Zwang & Co., Inc. Secs. 5(a) and 5(c), 1933 Act. Sec. 15(c)(3) and Rule 15c3- Secs. 5(a) and 5(c), 1933 Act. Sec.s 15(a) and 17(a), Rule Secs. 5(a), 5(c) and 17(a)(2), Apr. 12, 1962 Secs. 5(a) and 5(c) and Sec. Final judgments by consent as to 5 defendants entered May 31, 1961. Final judgment by consent as to 2 defendants entered Mar. 18, 1958. Re- Mandatory injunction entered Jan. 26, 1962. Appeal filed Mar. 22, 1962. Notice of appeal filed Jan. 12, 1959, by Commission from the order of the Summons and complaint filed Dec. 21, 1961. Amended complaint filed. Complaint and request for the appointment of a receiver filed Dec. 8, 1961. 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. 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. 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 TABLE 18.-Proceedings by the Commission to enforce subpoenas pending during the fiscal year ended June 30, 1962 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. |