TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1963-Continued Costello, Arthur C. July 27, 1959 Status of case Jan. 10, 1963 Mar. 14, 1958 Mar. 25, 1963 July 19, 1960 Alexik. Secs. 17(a) (2) and 17(a) (3), Secs. 5(a), 5(c) and 17(a), Sec. 17(a), 1933 Act; Sec. Final judgment by consent as to 1 defendant entered July 27, 1959. Preliminary injunction as to corporate defendant entered and receiver appointed July 31, 1959. Receiver discharged Dec. 27, 1962. Closed. Complaint filed Jan. 10, 1963. Final judgment by consent as to 2 defendants Default Judgment entered as to 1 defendant, Feb. 29, 1960. Court judg- Southern District Sept. 14, 1961 Secs. 5(a), 5(c) and 17(a) (2), Final judgment by consent as to 6 defendants entered Sept. 29, 1961. Order of Texas. 1933 Act. Sept. 17, 1960 Secs. 15(c)(1), 10(b), 8(c), 8(d) and Rules 15c1-2, 10b-5 and 8c-1, 1934 Act. Secs. 15(b), 15(c)(3) and 17(a) and Rules 15b-2, 15c3-1, 17a-3, 17a-5, 1934 Act. Apr. 4, 1962 Secs. 10(b) and 15(c) (1) and Rules 10b-5 and 15c1-2, 1934 Act. Sec. 17(a), 1933 Act. Sec. 17(a), 1933 Act; Secs. Secs. 15(c) (3) and 17(a), and entered Mar. 7, 1963, dismissing the action as to the remaining 3 de- Complaint and request for the appointment of a receiver filed Sept. 17, Summons and complaint filed Apr. 4, 1962. Final judgment by the court Complaint and request for appointment of a receiver filed Apr. 15, 1963. Complaint filed Nov. 6, 1962. Preliminary injunction entered as to both Florida Citrus Indus 2 June 3, 1963 Dec. 7, 1960 tries Inc. Southern District of Florida. Eastern District of Oct. 20, 1961 Southern District April 23, 1963 Oct. 10, 1962 17(a), Rules 15c1-2, 15c3-1 1933 Act. Sec. 15(c)(3) and Rule 15c31, 1934 Act. Sec. 17(a) (2) and (3), 1933 Sec. 15(c) (3) and Rule 15c3- Sec. 17(a), 1933 Act. Secs. 10(b), 15(c)(3) and Secs. 15(c)(3) and 17(a) and Sec. 15(d), 1933 Act. Secs. 5(a) and 5(c), 1933 Act. Sec. 15(c)(3) and Rule Mar. 1, 1963 Secs. 15(c) (3) and 17(a) and Secs. 17(a) (1), 17(a)(3) and Complaint and request for the appointment of a receiver filed June 22, 1962. Temporary restraining order signed June 22, 1962. Application for receiver denied. Pending. Complaint filed Nov. 15, 1962. Final judgment by consent entered Nov. Complaint and request for the appointment of a receiver filed Mar. 29, 1962. Complaint filed Mar. 10, 1961. Final judgment by consent as to 17 defend- Summons and complaint filed Nov. 21, 1961. Answer filed. Final judg- Complaint filed and final judgment by consent entered as to 3 defendants. Complaint and request for the appointment of a receiver filed Mar. 26, 1963. Complaint filed Aug. 10, 1962. Final judgment by consent as to 2 defendant Final judgment by consent as to 1 defendant entered Mar. 31, 1960. Two Final judgment as to 3 defendants and order appointing receiver entered Complaint filed April 23, 1963. Final judgment by consent entered as to Complaint and request for the appointment of a receiver filed Oct. 10, 1962. Summons and complaint filed Mar. 1, 1963. Preliminary injunction en- Complaint and request for the appointment of a receiver filed Dec. 7, 1960. Final judgments entered as to 1 defendant by consent on Apr. 4, 1960, and TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1963-Continued Name of principal Num- U.S. District Initiating papers filed Alleged violations Status of case Secs. 5(a), 5(c) and 17(a), Secs. 5 and 17(a), 1933 Act. Sec. 15(c)(3), 17(a), and Rules 15c3-1 and 17a-3, 1934 Act. Secs. 5(a) and 5(c), 1933 Act defend- Sec. 17(a), 1933 Act. ance Corp. Great Western Land & 10 Arizona.. Aug. 30, 1962 July 9, 1962 Mar. 11, 1960 Complaint filed Aug. 16, 1962. Final judgment by consent as to both Complaint filed Oct. 12, 1962. Final judgments by consent entered Oct. 23, Final judgment by consent as to 2 defendants entered Dec. 21, 1961. Peti- Final judgment by consent as to 1 defendant entered Apr. 3, 1958. Order Complaint filed July 9, 1962. Final judgement by consent as to 4 defend- Sec. 10(b) and Rule 10b-5, Final judgment by consent as to 1 defendant entered Dec. 31, 1962. Final Secs. 15(c)(3) and 17(a) and Sec. 17(a), 1933 Act; Sec. Jan. 8, 1962 Secs. 15(c) (1), 15(c)(3), and Jan. 16, 1961 17(a) and Rules 15c1-2, Complaint filed Jan. 26, 1962. Final judgment by default as to both de- Notice of appeal filed from the order of preliminary injunction. Order Mandatory injunction by consent as to 1 defendant entered Feb. 26, 1959. Summons, complaint and request for the appointment of a receiver filed Henwood, Stanley E... 22 Southern District | July 21, 1961 of California. Sec. 14(a) and Reg. 14, 1934 Act. Sec. 17(a), 1933 Act; See. 10 (b) and Rule 10b-5, 1934 Act. Secs. 15(c)(3) and 17(a) and Rules 15c3-1, 17a-3 and 17a-5, 1934 Act. Southern District Mar. 15, 1963 Sec. 17(a), 1933 Act; Sec. 15 (c) (1) and Rule 15c1-2, 2 New Jersey. of New York. Northern District Sept. 4, 1962 Secs. 15(c) (3), and 17(a), and Mar. 2, 1960 Rules 15c3-1 and 17a-3, 1934 Act. Secs. 17(a) (2) and 17(a) (3), Secs. 5(a), 5(c) and 17(a), Secs. 15(c) (1), 15(c) (2) and 17(a) and Rules 15c1-2, 15c3-1 and 17a-3, 1934 Act. Sec. 15(c)(3) and Rule 15c31, 1934 Act. Oct. 10, 1962 Secs. 15(c) (3), 17(a) and Apr. 8,1963 Secs. 15(c) (1), 15(c)(2), 15(c) June 20, 1962 Summons, complaint and request for the appointment of a receiver filed Complaint filed Sept. 4, 1962. Final judgment by consent as to 3 defend- Final judgment by consent entered as to 3 defendants and receiver ap- Complaint and request for the appointment of a receiver filed Nov. 15, 1960. Opinion of the court rendering the issuance of a final judgment as to both Complaint filed Jan. 11, 1961. Order to show cause and temporary restrain- Summons and complaint filed Oct. 10, 1962. Final judgment by consent Complaint filed Apr. 8, 1963. Final judgment by consent entered as to 3 Summons and complaint filed June 20, 1962. Temporary restraining order Secs. 5 and 17(a), 1933 Act... Final judgment by consent as to 1 defendant entered as to Sec. 5, 1933 Act, Mar. 3, 1961. Default judgment entered Aug. 29, 1961, enjoining 1 defendant as to Secs. 5 and 17(a) of 1933 Act. Remaining defendants dismissed. Closed. TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1963-Continued Secs. 17(a), 10(b), 15(c)(3) and Rules 17a-3, 10b-5 and 15c3-1, 1934 Act. Secs. 10(b)3, 15(c) (1), 15(c) (3) and Rules 10b-5, 15c1-2 and 15c3-1, 1934 Act. Nov. 30, 1962 Secs. 17(a) (1), 17(a) (2) and 17(a) (3), 1933 Act; Secs. 7(a)(1), 7(a) (2) and 42(e) of Inv. Co. Act of 1940. Secs. 5(a), 5(c) and 17(a), 1933 Act. Oct. Complaint and request for the appointment of a receiver filed Aug. 1, 1962. Receiver appointed Aug. 10, 1962. Final judgment by consent as to 4 defendants entered Aug. 20, 1962. Pending as to receiver. Complaint and request for the appointment of a receiver filed May 15, 1961. Complaint filed Nov. 30, 1962. Preliminary injunction entered as to 4 Complaint filed Aug. 3, 1962. Final judgment by consent as to 2 defendants Secs. 5(a)(1), 5(a) (2) and Complaint filed Aug. 16, 1962. Final judgment by consent entered Aug. 16, 5(c), 1933 Act. 1962. Closed. Sec. 15(c)(3) and Rule 15c3-1, 1934 Act. Secs. 5(a), 5(c) and 17(a), 1933 Act. 5, 1962 Sec. 17(a), 1933 Act. Secs. 15(a), 15(c) (1), 15(c)(3) and Rules 15c1-2 and 15c3-1, 1934 Act. Mar. 11, 1963 Dec. 9, 1958 Secs. 5(a) and 5(c), 1933 Act. Secs. 5(b) (1) and (2), 10, 17(a)(1), (2) and (3), 1933 Act. Apr. 27, 1962 Secs. 15(b), 17(a) and Rules 15b-2 and 17a-3, 1934 Act. Aug. 20, 1958 Sec. 17(a) (3), 1933 Act; Secs. 10(b), 15(c) (1), 1934 Act. Mar. 6, 1963 Secs. 5(a), 5(c) and 17(a), 1933 Act. Summons and complaint filed Nov. 27, 1962. Preliminary injunction as to 2 defendants filed Dec. 27, 1962. Pending. Complaint filed June 12, 1963. Final judgments by consent as to 6 defendants entered June 18, 1963, and as to 1 defendant June 19, 1963. Preliminary injunction entered June 20, 1963, as to 1 defendant. Pending. Complaint filled Oct. 5, 1962. Final judgment by consent as to 3 defendants entered Apr. 15, 1963. Closed. Complaint filed Mar. 11, 1963. Preliminary injunction entered as to 1 defendant Apr. 16, 1963. Pending. Final judgment by consent as to 2 defendants entered Dec. 19, 1958. Order Final judgment by the court as to 4 defendants and dismissing action as to 1 Complaint filed Mar. 6, 1963. Final judgment by consent as to 2 defendants entered June 4, 1963. Final judgment by consent as to 2 defendants entered June 24, 1963. Closed. Kay & Co. 4 Southern District Aug. 1, 1962 of Texas. Keller Brothers Securities Co., Inc. 2 Massachusetts. May 15, 1961 |