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Table 15. Summary of cases instituted against the Commission, cases in

which the Commission participated as intervenor or amicus

curiae, and reorganization cases on appeal under Chapter X

in which the Commission participated.---

Table 16. Indictments returned for violation of the Acts administered by

the Commission, the Mail Fraud statute (Section 1341,

formerly Sec. 338, Title 18, U.S.C.) and other related Fed-

eral statutes (where the Commission took part in the investi-

gation and development of the case) which were pending

during the 1962 fiscal year.-

Table 17. Injunctive proceedings brought by the Commission which were

pending during the fiscal year ended June 30, 1962 --

Table 18. Proceedings by the Commission to enforce subpoenas pend-

ing during the fiscal year ended June 30, 1962..--

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.---

Table 20. Contempt proceedings pending during the fiscal year ended

June 30, 1962.----

Table 21. Petitions for review of orders of Commission pending in courts

of appeals during the fiscal year ended June 30, 1962..----

Table 22. Miscellaneous actions involving the Commission or employees

of the Commission during the fiscal year ended June 30,


Table 23. Cases in which the Commission participated as intervenor or as

amicus curiae, pending during the fiscal year ended June 30,


Table 24. Reorganization cases under Chapter X of the Bankruptcy Act

pending during the fiscal year ended June 30, 1962, in which

the Commission participated when District Court orders

were challenged in appellate courts..

Table 25. A 29-year summary of criminal cases developed by the Com-

mission-fiscal years 1934-1962..

Table 26. A 29-year summary classifying all defendants in criminal cases

developed by the Commission-1934 to June 30, 1962.---

Table 27. A 29-year summary of all injunction cases instituted by the

Commission-1934 to June 30, 1962, by calendar year.---


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Staff Officers
EDMUND H. WORTHY, Director, Division of Corporation Finance.

WALTER WERNER, Associate Director,
ALLAN F. CONWILL, Director, Division of Corporate Regulation.

SOLOMON FREEDMAN, Associate Director.
PHILIP A. LOOMIS, Jr., Director, Division of Trading and Exchanges.

IRVING M. POLLACK, Associate Director.
MILTON H. COHEN, Director, Special Study of Securities Markets.

Ralph S. SAUL, Associate Director.

RICHARD H. Paul, Chief Counsel. PETER A. DAMMANN, General Counsel.

DAVID FERBER, Associate General Counsel.

WALTER P. NORTH, Associate General Counsel.
ANDREW BARR, Chief Accountant.
LEONARD HELFENSTEIN, Director, Office of Opinion Writing.

W. VICTOR RODIN, Associate Director.
WILLIAM E. BECKER, Management Analyst.
FRANK J. DONATY, Comptroller.
ERNEST L. DESSECKER, Records and Service Officer.
HARRY POLLACK, Director of Personnel.
ARTHUR FLEISCHER, Jr., Executive Assistant to the Chairman.



Regional Administrators

Region 1. New York, New Jersey.-Llewellyn P. Young; John J. Devaney,

Associate Regional Administrator, 225 Broadway, New York 7, N.Y. Region 2. Massachusetts, Connecticut, Rhode Island, Vermont, New Hamp

shire, Maine.-Philip E. Kendrick, Federal Building, Post Office Square,

Boston 9, Mass. Region 3. Tennessee, North Carolina, South Carolina, Georgia, Alabama,

Mississippi, Florida, and that part of Louisiana lying east of the Atchafalaya River.-William Green, Suite 138, 1371 Peachtree Street, NE.,

Atlanta 9, Ga. Region 4. Illinois, Indiana, Iowa, Kansas City (Kans.), Kentucky, Michi

gan, Minnesota, Missouri, Ohio, Wisconsin.—Thomas B. Hart, Bankers

Building (Room 630), 105 West Adams Street, Chicago 3, III. Region 5. Oklahoma, Arkansas, Texas, and that part of Louisiana lying

west of the Atchafalaya River, and Kansas (except Kansas City).–Oran H. Allred, United States Courthouse (Room 301), 10th and Lamar Streets,

Fort Worth 2, Tex. Region 6. Wyoming, Colorado, New Mexico, Nebraska, North Dakota, South

Dakota, Utah.-Donald J. Stocking, 802 Midland Savings Building, 444

17th Street, Denver 2, Colo. Region 7. California, Nevada, Arizona, Hawaii.—Arthur E. Pennekamp,

Pacific Building, 821 Market Street, San Francisco 3, Calif. Region 8. Washington, Oregon, Idaho, Montana, Alaska.-James E. New

ton, Hoge Building (9th floor), 705 Second Avenue, Seattle 4, Wash. Region 9. Pennsylvania, Maryland, Virginia, West Virginia, Delaware, Dis

trict of Columbia.-Alexander J. Brown, Jr., Courts Building, 310 6th Street, N.W., Washington 25, D.C.

Branch Offices

Cleveland 13, Ohio. Standard Building (Room 1628), 1370 Ontario Street.

Detroit 26, Mich. Federal Building (Room 1074). Houston 2, Tex. Federal Office and Court Building (Room 226), 515 Rusk

Avenue. Los Angeles 28, Calif. Guaranty Building (Room 309), 6331 Hollywood

Boulevard. Miami 32, Fla. Ainsley Building (Suite 1112), 14 Northeast First Avenue. St. Louis, Mo. Federal Building (Room 4266A), 1520 Market Street. St. Paul 1, Minn. Main Post Office and Customhouse (Room 1027), 180 East

Kellogg Boulevard. Salt Lake City, Utah. Newhouse Building (Room 1119), 10 Exchange Place.


William L. Cary, Chairman Chairman Cary was born in Columbus, Ohio, on November 27, 1910. He received an A.B. degree in 1931 and an LL.B. degree in 1934 from Yale University and an M.B.A. degree from the Harvard Graduate School of Business Administration in 1938. He is a member of Phi Beta Kappa and Phi Delta Phi. Following admission to the Ohio bar in 1934, he was associated with a Cleveland law firm for 2 years. Upon completion of 2 years of graduate study at the Harvard Graduate School of Business in May 1938, he joined the legal staff of the Securities and Exchange Commission where he served for nearly 2 years in the General Counsel's Office and the Reorganization Division. He served as a Special Assistant to the Attorney General in the Tax Division of the Department of Justice from March 1940 until January 1942, and as Counsel, Office of Coordinator of Inter-American Affairs, in Rio de Janeiro until January 1943. After World War II service with the U.S. Marine Corps Reserve and the Office of Strategic Services in Rumania and Yugoslavia, he became a lecturer in finance and law at the Harvard Graduate School of Business Administration (1916-47). From 1947 to 1955, he served as professor of law at Northwestern University School of Law, except for service as Deputy Department Counselior for Procurement, Department of the Army, during the Korean War, and at Columbia University School of Law from 1955 to March 1961. He is coauthor of several books in the corporate field, and until his appointment served as special counsel to a New York law firm. He took office as a member of the Securities and Exchange Commission on March 27, 1961, for the term expiring June 5, 1961. His appointment also covered the succeeding 5-year term ending June 5, 1966. He was designated Chairman of the Commission.

Byron D. Woodside Commissioner Woodside was born in Oxford, Pa., in 1908, and is a resident of Haymarket, Va. He holds degrees of B.S. in economics from the University of Pennsylvania, A.M. from George Washington University, and LL.B. from Temple University. He is a member of the bar of the District of Columbia. In 1929 he joined the staff of the Federal Trade Commission, and in 1933, following the enactment

of the Federal Securities Act, was assigned to the Securities Division of that Commission which was charged with the administration of the Securities Act of 1933. He transferred to the Securities and Exchange Commission when the Securities Exchange Act of 1934 was enacted. In 1940 he became Assistant Director and in 1952 Director of the Division (now Division of Corporation Finance) responsible for administering the registration and reporting provisions of the Securities Act, Securities Exchange Act, the Trust Indenture Act of 1939, and, in part, the Investment Company Act of 1940. For 14 months commencing in May 1948, he was on loan to the Department of the Army and assigned to duty in Japan as a member of a five-man board which reviewed reorganization plans of Japanese companies under the Occupation's decartelization program; and beginning in December 1950, he served 17 months with the National Securities Resources Board and later with the Defense Production Administration as Assistant Deputy Administrator for Resources Expansion. He took office as a member of the Securities and Exchange Commission on July 15, 1960, for the term of office expiring June 5, 1962. He was reappointed effective June 5, 1962 for the term expiring June 5, 1967.

J. Allen Frear, Jr.

Commissioner Frear was born on a farm near Rising Sun, Del., on March 7, 1903, where he attended a rural school, graduated from the Caesar Rodney High School, and obtained a B.S. degree from the University of Delaware in 1924. He also holds an honorary degree from Bethany College. An agriculturist by vocation, he has been active in civic and political affairs. For the 12-year period from January 3, 1949, he served two 6-year terms as a Senator from the State of Delaware in the Senate of the United States. He was a member of the Committee on Banking and Currency, which has jurisdiction over legislative and other matters affecting the Commission, and the Committee on Finance. From 1940 to 1948 he was a member of the Board of Directors, Farm Credit Administration, Second Farm Credit District, except for a period of service with the U.S. Army from 1943 to 1946 in World War II. He also served on the Delaware Old Age Assistance Commission and on the board of trustees for Delaware State College. At present he is a director of two banks in Delaware, and a member of the board of trustees of the University of Delaware. He holds membership in the Rotary Club, Sigma Nu Fraternity, and the American Legion and the Veterans of Foreign Wars. On March 15, 1961, he took the oath of office as a member of the Commission for the term expiring June 5, 1965.

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