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TABLE 19.-Actions pending during fiscal year ended June 30, 1962, to enforce voluntary plans under Section 11(e) to comply with

Section 11(b) of the Public Utility Holding Company Act of 1935

Name of case

U.S. District Court

Initiating papers filed

Status of case

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Long Island Lighting Co., et Eastern District of Reopened Oct. 14, 1960.
al., In re.

New York.

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Application filed by Commission for an order enforcing the carrying out of a plan pursuant to Sec. 11(d) and 18(f) of the 1935 Act, as per Commission order of July 14, 1960. Order Sept. 2, 1960, approving and enforcing plan with the Court taking jurisdiction and posses

sion of Arkansas Fuel Oil Corporation and its assets. Pending as to certain fees. Petition filed June 25, 1956, by Cities Service Company for an order requiring Elias Auerback

to show cause why he should not be adjudged in contempt of order entered Jan. 29, 1953, Petition filed by Louis E. Marron July 23, 1956, seeking intervention. Order Oct. 26, 1956, denying petition for intervention but directing the petitioner be permitted to appear

amicus curiae. Pending as to certain fees. Application by Long Island Lighting Co. for an order extending time for the exchange of its

old stock for the new stock provided in the plan of consolidation from Oct. 24, 1960, to Oct.
24, 1962. Order Oct. 19, 1960, granting application with Commission's consent attached,
Pending.

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Supplemental application filed by Commission for an order enforcing the carrying out of

amendments to a plan pursuant to Sec. 11(e) and 18(1) of the 1935 Act, approved by
Commission order of Aug. 11, 1960, and to enjoin interference of amended plan. Order

Sept. 14, 1960, approving and enforcing amendments to the plan. Closed. Application filed by Commission for an order enforcing the carrying out of a plan pursuant to Sec. 11(e) of the 1935 Act, as per Commission order of Aug. 3, 1961. Order Oct. 23, 1961,

approving and enforcing plan. Closed. Application filed by Commission for an order enforcing the carrying out of a plan pursuant

to Sec. 11(e) of the 1935 Act, approved by Commission order entered Oct. 19, 1961, and
enjoining interference with the plan, Order Dec. 1, 1961, approving and enforcing plan.

Pending.
Application filed by the Commission for an order approving and 'enforcing the carrying out

of a plan pursuant to Sec. 11(e) of the 1935 Act, as approved by Commission order entered

Feb, 19, 1962. Order Apr. 10, 1962, approving and enforcing plan, Closed.
Supplemental application filed by Commission for an order enforcing the carrying out of

Step V as amended of the Standard Plan pursuant to Sec. 11(e) of the 1935 Act, approved
by Commission order of Jan. 19, 1961, and to enjoin interference with carrying out of the
plan, Order Apr. 22, 1961, approving and enforcing plan and reserving jurisdiction to

the court. Pending.
Application filed by Commission for an order enforcing Step I of a plan pursuant to Sec.

11(e) of the 1935 Act, as approved by Commission order of Aug. 10, 1960. Commission's
memorandum on its application filed. Brief and supplemental brief filed by John B.
Kelaghan in support of his statement of objections. Order Oct. 21, 1960, enforcing pro-
visions of Step I of plan with the court reserving jurisdiction. Notice of appeal filed Jan.
25, 1961, by Kelaghan from the order of the District Court. Stipulation and order Jan. 5
1961, suspending order of Oct. 21, 1960, pending appeal. Briefs for appellants and Valley
Gas Co., et al., filed. Commission's brief Feb. 23, 1961, served. Judgment by CA-1
Mar. 24, 1961, affirming order of the district court. Step II of plan, providing for rights of
Valley Gas common stock to stockholders of Eastern Utilities Associates

and minority, stockholders of Blackstone Valley Gas and Electric Company, filed June 27, 1962. Pend

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Oct. 23, 1961.

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TABLE 20.—Contempt proceedings pending during the fiscal year ended June 30, 1962

CRIMINAL CONTEMPT PROCEEDINGS

Principal defendants

Number

of de-
fendants

U.S. District

Court

Initiating
papers

filed

Status of case

Birrell, Lowell M.
Colotex Uranium and Oil

Inc.
Kormel, Inc.
Winburn, Roland (AII
American Marble Co.).

1 Southern District Oct. 11, 1957 Pending.

of New York.
3 Colorado... Jan. 17, 1957 | Order of Jan. 17, 1957, directing defendants to show cause why they should not be adjudged in

criminal contempt for violating injunction, prohibiting violations of Secs. 5 and 17 of the 1933 Act.

Order entered adjudging all defendants guilty and sentencing ranged from fines of $200 to $350.
3 Nevada..
Mar. 2, 1962 Order of Mar. 2, 1962, directing the defendants to show cause why they should

not be adjudged in
criminal contempt of injunction prohibiting violations of Sec. 17 of the 1933 Act. Pending.
1 Colorado..

Sept. 14, 1961 Order of Sept. 14, 1961, to show cause why he should not be punished for criminal contempt in violation

of final judgment entered June 30, 1955, in S.E.C. v. Roland Winburn. Order dismissed Nov. 3, 1961,

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TABLE 21.--Petitions for review of orders of Commission pending in courts of appeals during the fiscal year ended June 30, 1968

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May 21, 1962 Petition to review order Mar. 28, 1962, affirming the disciplinary action taken against petitioner by NASD,

Inc. Pending.
Apr. 5, 1961 Order Feb. 6, 1961, finding petitioner to be a cause of the broker-dealer registration of Mac Robbins Co.,

Inc. Petitioner's brief and appendix filed. Opinion and judgment entered by CA-2 remanding case

to the Commission. Commission opinion pursuant to remand promulgated July 11, 1962. Pending.
June 20, 1962 Order June 8, 1962, suspending petitioner's broker-dealer registration pending final determination of the

issue of revocation. Notice of motion for stay filed June 20, 1962. Pending.
1}June 16, 1960 Order Apr. 19, 1960, revoking the broker-dealer registration of Blaise D'Antoni & Associates, Inc. and

denying application for withdrawal of registration of Blaise D'Antoni. Briefs and reply briefs filed.
Opinion Apr. 20, 1961, affirming the Commission order. Opinion June 12, 1961, denying petition for
rehearing. Order June 15, 1961, granting stay of mandate for a period of 90 days from June 12, 1961.

Petition for writ of certiorari filed Aug. 30, 1961, and denied Nov. 6. 1961. Closed.
June 15, 1959 Order of Mar. 24, 1959, dismissing proceedings instituted by petitioner pursuant to Sec. 15A (g) of the

1934 Act, for review of disciplinary action by the NASD, Inc., and Commission's order of Apr. 20, 1959,
denying rehearing. Briefs and reply briefs filed. Opinion May 1, 1961, affirming the order of the
Commission. Petition for rehearing denied June 3, 1961. Petition for writ of certiorari filed Aug, 14,

1961, and denied Oct. 23, 1961. Closed.
Sept. 13, 1960 Order July 15, 1960, pursuant to Sec. 6(c) of the Investment Company Act of 1940, exempting Great Ameri-

can Life Underwriters, Inc., of which petitioner is a stockholder from all provisions of the Act after
Jan. 1, 1940. Motion and memorandum by intervenor-respondent Great American Life Underwriters,
Inc., to dismiss petition for review served Nov. 23, 1960. SEC's memorandum in opposition to motion
to dismiss filed Dec. 2, 1960. Petitioner's brief and intervenor's briefs on motions to dismiss filed.
Opinion and order Jan. 10, 1961, denying intervenor's motion to dismiss petition for review. Various
briefs filed by all parties. Mandate of OA-3 affirming order of the Commission. Petition for rehearing

filed and denied. Closed.
June 13, 1961 (Considered a petition for review although filed in the District Court.) Summons and complaint filed

demanding a judgment enjoining pending proceeding before the Commission and declaring invalid Rule
252(e) (2) of Regulation A, which curtails plaintiff's underwriting activities in exempt offerings. Motion
to dismiss Complaint June 21, 1961. Plaintiff's brief in opposition to motion to dismiss filed June 26,
1961. Order July 6, 1961, granting motion for dismissal, denying plaintiff's motions for preliminary
injunction and for stay. Notice of appeal filed by R. A. Holman & Co., Inc., from the order of the
district court. Order Jan. 18, 1962, affirming judgment of the district court, dismissing action for lack of

jurisdiction and failure to state a claim. Writ of certiorari denied on June 4, 1962. Closed. Mar. 24, 1961 Order Feb. 6, 1961, revoking the broker-dealer registration of Mac Robbins & Co., Inc., and finding Kahn

among others a cause of such revocation. Petitioner's brief and appendix filed. Opinion of CA-2 remanding decision to the Commission, Pending.

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TABLE 21.–Petitions for review of orders of Commission pending in courts of appeals during the fiscal year ended June 30, 1962–Con.

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Aug. 26, 1960 Petition to review Commission's failure to take action against management of Paramount Pictures Corp.

for alleged violations of proxy rules under Sec. 14(a) of the 1934 Act. Order Nov. 3, 1960, granting SEC's
motion to dismiss petition for review, and denying petitioner's cross motion for summary judgment.
Order Feb. 7, 1961, denying petitioner's motion to vacate order of Nov. 3, 1960. Petition for writ of
certiorari filed and denied Apr. 17, 1961. Petition for rehearing filed in CA-2 and denied July 17, 1961.

Olosed.
Feb. 17, 1961 Order Dec. 23, 1960, affirming Commission order of Dec. 30, 1959, exempting Securities Corporation Gen-
eral, a registered investment company, from provisions of Sec. 17(a) of the 1940 Act, and

permitting it to
purchase its own preferred stock in accord with Sec. 23(c)(3) of the Act. Order Mar. 6, 1961, granting
Securities Corporation General to intervene as intervenor-respondent. Order entered Nov. 14, 1961,

affirming the order of the Commission. Closed.
Mar. 21, 1961 Order Mar. 14, 1961, revoking the broker-dealer registration of the petitioner and finding N. Sims Organ

a cause of such revocation. Judgment entered Sept. 19, 1961, affirming the order of the Commission. Petition for writ of certiorari filed from the order entered Sept. 19, 1961. Brief of the Commission in

opposition filed Jan. 1962. Petition for writ of certiorari denied Jan. 15, 1962. Closed.
May 3, 1961 Petition to review orders of the Commission of Mar.

8, and Mar. 31, 1961, instituting proceedings to de-
termine whether to deny broker-dealer registration and postponing the effective date of registration
until a final determination on the question of denial. Response of the SEC to petitioner s motion to
stay SEC orders filed June 1, 1961. Memorandum of petitioner in support of motion for stay filed June

3, 1961. Pending.
Mar. 5, 1962 Petition to set aside order of the Commission issued Feb. 12, 1962, directing petitioner to testify and pro-

duce records pertaining to hearing of Lloyd, Miller and Company. Motion for stay of proceedings

filed Mar. 5, 1962, and denied Mar. 7, 1962. Order dismissing petition for review Mar. 22, 1962. Closed. Feb. 14, 1962 Order Jan. 5, 1962, affirming the disciplinary action taken against petitioner by National Association of

Securities Dealers, Inc. Order staying order of Jan. 5, 1962, pending appeal. Stipulation dismissing appeal with prejudice filed June 19, 1962. Closed.

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TABLE 22.-Miscellaneous actions involving the Commission or employees of the Commission during the fiscal yead ended June 30, 1962

Plaintiff

Court

Initiating papers filed

Status of case

Hansen, Howard J.
District of Columbia. Dec. 8, 1961 Complaint fled Dec. 8, 1961, for judgment restraining Commission from joining plaintiff as a party to

pending revocation proceedings in re Atlantic Equities Company and Klein, Runner and Black.
Answer filed by SEC on Feb. 7, 1962. Defendants' motion to dismiss and for summary judgment
filed Feb. 7, 1962. Order Mar. 5, 1962, granting motion and allowing plaintiff to file amended com-
plaint. Amended complaint filed Mar. 5, 1962. Answer to amended complaint and motion for sum-
mary judgment filed Mar. 16, 1962. Order entered Apr. 6, 1962, granting defendant's motion for

judgment on pleadings. Closed.
R. A. Holman & Co., Inc. do.

June 13, 1962 Summons and complaint filed June 13, 1962, seeking a permanent injunction to enjoin the Commission

from further administrative proceedings entitled, "In the matter of R. A. Holman & Co., Inc., and

In the matter of Pearson Corporation". Pending.
Kukatush Mining Corp., et {District of Columbia.- Aug. 24, 1961 Complaint filed Aug. 24, 1961, for a declaratory judgment restraining Commission from continuing to
al.

CA DC.

Oct. 26, 1961 include the name Kukatush Mining Company in the Canadian Restricted List issued by the Com

mission. Motion to dismiss complaint filled Sept. 12, 1961. Opinion and order granting the Commis-
sion's motion Oct. 19, 1961. Notice of appeal filed from the district court's order. Various briefs filed

and case argued. Pending.
Levinson, Herman D. U.S. Court of Claims.- July 30, 1954 Petition for judgment alleging improper separation in reduction in force and seeking recovery of lost pay

filed July 30, 1954. Government's first amended answer filed Jan. 12, 1961. Defendant's brief and

exceptions filed Jan. 10, 1962. To be argued before the court during the week of Oct. 1, 1962. Pending.
Silver Springs Acres, Inc., Southern District of June 11, 1962 Order directing respondent to show cause why subpoena duces tecum directed to petitioners should not
and Joseph Onello.
New York.

be vacated. Memorandum order denying motion to quash subpoena, June 14, 1962. Closed
Sutro Brothers & Co.

.do.

Nov. 2, 1961 | Complaint filed to enjoin the Commission from continuing an investigation into violations of the Securities

Exchange Act, during the pendency of broker-dealer revocation proceedings based upon evidence pre-
viously

developed in the investigation. Plaintiff's motion for preliminary injunction denied Nov. 15,

1961. Pending. Amos Treat & Co., Inc., et al. (District of Columbia.. Apr. 25, 1962 Summons and complaint filed seeking a permanent injunction from

further continuing and prosecuting plaintiff's motion for preliminary injunction and appeal filed Apr. 30, 1962. Opinion reversing order of the district court, May 10, 1962. Petition for rehearing filed May 25, 1962. Petition denied June 14,

1962. Pending.

June 23, 1961 Petition for declaratory judgment and application for bail pending judicial review. Government's
Vandersee, Arnold E. CA DC.

Oct. 19, 1961 motion to dismiss petition granted Oct. 10, 1961. Notice of appeal filed from the order of the district
(USSC.

Jan. 23, 1962 court, Oct. 19, 1961. Motion of appellant to petition for application to appeal in forma pauperis served

Oct. 30, 1961, and denied Dec. 1, 1961. Petition for writ of certiorari denied May 14, 1962. Closed.
Wechsler, Nathan.
District of Columbia - June 14, 1962 Complaint field for an order permanently enjoining defendants from holding a private hearing re plaintiff's

fitness to practice before the Commission. Order entered denying motion for temporary restraining order
June 14, 1962. Motion for preliminary injunction withdrawn by stipulation of the parties. Complaint
pending.

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