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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

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Louisiana Gas Service, et al., Eastern District of
In re.
Louisiana.

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.
Reopened Aug. 12, 1960. Supplemental application filed by Commission for an order enforcing the carrying out of
amendments to a plan pursuant to Sec. 11(e) and 18(f) 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.

Lynn Electric Co., et al., In re. Massachusetts..

New Orleans Public Service Eastern District of
Inc., et al., In re.

Pennsylvania Gas Co., et al., Western District of
In re.

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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.

Reopened Jan. 26, 1961... 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-
ing.

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Status of case

TABLE 20.-Contempt proceedings pending during the fiscal year ended June 30, 1962 CRIMINAL CONTEMPT PROCEEDINGS

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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. 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. 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.

Principal defendants

Number of defendants

U.S. District Court

papers filed

Birrell, Lowell M.

1

Southern District

Oct. 11, 1957 | Pending.

of New York.

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Mar. 2, 1962 Sept. 14, 1961

American Marble Co.).

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

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May 21, 1962

Apr. 5, 1961

June 20, 1962

June 16, 1960

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June 15, 1959

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Commission action appealed from and status of case

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

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.

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 CA-3 affirming order of the Commission. Petition for rehearing
filed and denied. Closed.

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June 13, 1961

Mar. 24, 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.
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 re-
manding 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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TABLE 22.-Miscellaneous actions involving the Commission or employees of the Commission during the fiscal yead ended June 30, 1962
OPDE COP

HOU Plaintiff

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Hansen, Howard J.

Kukatush Mining Corp., et District of Columbia.. al. CA DC.

Silver Springs Acres, Inc., Southern District of

Amos Treat & Co., Inc., et al. District of Columbia.. Apr. 25, 1962
Apr. 30, 1962

Vandersee, Arnold E.

Wechsler, Nathan..

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