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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
Long Island Lighting Co., et Eastern District of Reopened Oct. 14, 1960.
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.
amendments to a plan pursuant to Sec. 11(e) and 18(1) of the 1935 Act, approved by
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
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.
Step V as amended of the Standard Plan pursuant to Sec. 11(e) of the 1935 Act, approved
the court. Pending.
11(e) of the 1935 Act, as approved by Commission order of Aug. 10, 1960. Commission's
and minority, stockholders of Blackstone Valley Gas and Electric Company, filed June 27, 1962. Pend
Oct. 23, 1961.
TABLE 20.—Contempt proceedings pending during the fiscal year ended June 30, 1962
CRIMINAL CONTEMPT PROCEEDINGS
Status of case
Birrell, Lowell M.
1 Southern District Oct. 11, 1957 Pending.
of New York.
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.
not be adjudged in
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,
TABLE 21.--Petitions for review of orders of Commission pending in courts of appeals during the fiscal year ended June 30, 1968
May 21, 1962 Petition to review order Mar. 28, 1962, affirming the disciplinary action taken against petitioner by NASD,
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.
issue of revocation. Notice of motion for stay filed June 20, 1962. Pending.
denying application for withdrawal of registration of Blaise D'Antoni. Briefs and reply briefs filed.
Petition for writ of certiorari filed Aug. 30, 1961, and denied Nov. 6. 1961. Closed.
1934 Act, for review of disciplinary action by the NASD, Inc., and Commission's order of Apr. 20, 1959,
1961, and denied Oct. 23, 1961. Closed.
can Life Underwriters, Inc., of which petitioner is a stockholder from all provisions of the Act after
filed and denied. Closed.
demanding a judgment enjoining pending proceeding before the Commission and declaring invalid Rule
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.
TABLE 21.–Petitions for review of orders of Commission pending in courts of appeals during the fiscal year ended June 30, 1962–Con.
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
permitting it to
affirming the order of the Commission. Closed.
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.
8, and Mar. 31, 1961, instituting proceedings to de-
3, 1961. Pending.
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.
TABLE 22.-Miscellaneous actions involving the Commission or employees of the Commission during the fiscal yead ended June 30, 1962
Initiating papers filed
Status of case
Hansen, Howard J.
pending revocation proceedings in re Atlantic Equities Company and Klein, Runner and Black.
judgment on pleadings. Closed.
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.
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-
and case argued. Pending.
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.
be vacated. Memorandum order denying motion to quash subpoena, June 14, 1962. Closed
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-
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,
June 23, 1961 Petition for declaratory judgment and application for bail pending judicial review. Government's
Oct. 19, 1961 motion to dismiss petition granted Oct. 10, 1961. Notice of appeal filed from the order of the district
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.
fitness to practice before the Commission. Order entered denying motion for temporary restraining order