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TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1963Continued

Name of principal

defendant

Num-
ber of
defend-
ants

U.S. District

Court

Initiating papers filed

Alleged violations

Status of case

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2 Eastern District July 27, 1959 Secs. 17(a)(2) and 17(a)(3), Final judgment by consent as to 1 defendant entered July 27, 1959. Preof Missouri.

1933 Act; Secs. 15(c) (1), liminary injunction as to corporate defendant entered and receiver
15(c)(3) and 10(b) and appointed July 31, 1959. Receiver discharged Dec. 27, 1962. Closed.
Rules 15c1-2, 15c3-1 and

10b-5, 1934 Act.
2 Western District Jan. 10, 1963 Secs, 5(a) and 5(c), 1933 Act Complaint filed Jan. 10, 1963. Final judgment by consent as to 2 defendants
of Washington.

entered Jan. 10, 1963. Closed.
5 Southern District Mar. 14, 1958 Sec. 36 and 16(a), Inv. Co. Default Judgment entered as to 1 defendant, Feb. 29, 1960. Court judg-
of New York.

Act of 1940.

ment entered as to 1 defendant June 9, 1960. Order dismissing action as

to the remaining 3 defendants entered Dec. 19, 1962. Closed.
2 Massachusetts Mar. 25, 1963 Secs. 5(a), 5(c) and 17(a), Complaint filed Mar. 25, 1963. Final judgment by consent entered Mar.

1933 Act.

25, 1963. Closed. 4 do.

July 19, 1960 Sec. 17(a), 1933 Act; Sec. Complaint filed July 19, 1960. Complaint amended to include additional

15(c)(3) and Rule 1503-1, violations and appointment of receiver requested, Aug. 17, 1960. Final
1934 Act.

judgment by consent as to 3 defendants and dismissal as to 1 defendant
entered Sept. 8, 1960. Order entered Sept. 19, 1960, appointing a new

receiver. Pending.
9 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.

entered Mar. 7, 1963, dismissing the action as to the remaining 3 de

fendants. Closed.
2 Massachusetts. Sept. 17, 1960 Secs. 15(c)(1), 10(b), 8(c), Complaint and request for the appointment of a receiver filed Sept. 17,

8(d) and Rules 15c1-2, 1960. Receiver appointed and temporary restraining order signed Sept.
10b-5 and 80-1, 1934 Act. 17, 1960. Final judgment as to 2 defendants entered Sept. 26, 1960. Pend-

ing as to receiver.
4 Southern District Apr. 4, 1962 Secs. 15(b), 15(c)(3) and Summons and complaint filed Apr. 4, 1962. Final judgment by the court
of New York.

17(a) and Rules 15b-2, as to 4 defendants entered Mar. 7, 1963. Closed.
15c3-1, 17a-3, 17a-5, 1934

Act. 1 Massachusetts Apr. 15, 1963 Secs. 10(b) and 15(c)(1) and Complaint and request for appointment of a receiver filed Apr. 15, 1963.

Rules 10b-5 and 15c1-2, Final judgment by consent entered and receiver appointed Apr. 15, 1963.
1934 Act.

Pending,
2 Northern District Aug. 14, 1962 Sec. 17(a), 1933 Act.

Complaint filed Aug. 14, 1962. Final judgment by consent as to 1 defendant
of Georgia.

and order dismissing action as to the remaining defendant entered Sept. 4,

1962. Closed
2 Minnesota

Sept. 8, 1961 Sec. 17(a), 1933 Act; Secs. Complaint and request for the appointment of a receiver filed Sept. 8, 1961.

10(b) and 15(c)(1), and Stipulation dismissing request for receiver for mootness entered Mar. Rules 106-5 and 15c1-3, 12, 1963. Final judgment by the court entered May 20, 1963, as to both 1934 Act.

defendants. Closed. 2 New Jersey. Nov. 6, 1962 Secs. 15(c)(3) and 17(a), and Complaint filed Nov. 6, 1962. Preliminary injunction entered as to both

Rules 15c3-1 and 17a-3, defendants Nov. 14, 1962. Pending. 1934 Act.

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2

3

2

2 Maryland.

June 22, 1962 Secs. 15(c) (1), 15(c)(3) and Complaint and request for the appointment of a receiver filed June 22, 1962.

17(a), Rules 15c1-2, 15c3-1 Temporary restraining order signed June 22, 1962. Application for and 17a-3, 1934 Act.

receiver denied. Pending. 5 Wyoming.. Nov. 15, 1962 Socs. 5(a), 5(e) and 17(a), Complaint filed Nov. 15, 1962. Final judgment by consent entered Nov.

1933 Act.

30, 1962, as to 5 defendants. Closed.
5 District of Co- Mar. 29, 1962 Sec. 15(c)(3) and Rule 15c3- Complaint and request for the appointment of a receiver filed Mar. 29, 1962.
lumbia.

1, 1934 Act.

Receiver appointed Mar. 30, 1962. Preliminary injunction as to 3
defendants entered Apr. 5, 1962. Leave granted the Commission to add
additional parties as defendants, Nov. 21, 1962. Amended complaint

filed naming such additional defendants. Pending.
19 Western District Mar. 10, 1961 Sec. 17(a) (2) and (3), 1933 Complaint filed Mar. 10, 1961. Final judgment by consent as to 17 defend-
of Washington.

Act.

ants entered Apr. 3, 1963. Order entered May 17, 1963, dismissing the

action as to the remaining defendant. Closed.
Southern District Nov. 21, 1961 Sec. 15(c)(3) and Rule 15c3- Summons and complaint filed Nov. 21, 1961. Answer filed. Final judg-
of California.

1, 1934 Act.

ment by default as to 1 defendant entered Feb. 6, 1963. Pending as to

remaining defendant.
Utah..
Apr. 15, 1963 Sec. 17(a), 1933 Act.

Complaint filed and final judgment by consent entered as to 3 defendants.

Closed. 2 Oregon..

Mar. 26, 1963 Secs. 10(b), 15(C)(3) and Complaint and request for the appointment of a receiver filed Mar. 26, 1963.

17(a) and Rules 10b-5, Final judgments by consent entered as to both defendants, May 20, 1963.
15c3-1, 17a-3 and 17a-4, Request for receiver withdrawn. Closed.

1934 Act.
2 Southern District Aug. 10. 1962 Secs. 15(c)(3) and 17(a) and Complaint filed Aug. 10, 1962. Final judgment by consent as to 2 defendant
of California.

Rules 15c3-1 and 17a-3. entered Aug. 15, 1962. Closed.
Southern District Feb. 27, 1963 Secs. 5(a), 5(c) and 17(a), Complaint filed Feb. 27, 1963. Final judgment by consent entered as to
of Florida.

1933 Act.

both defendants Mar. 8, 1963. Closed.
Eastern District of Jan. 13, 1960 Sec. 15(d), 1933 Act.

Final judgment by consent as to 1 defendant entered Mar. 31, 1960. Two
Louisiana.

remaining defendants were included in this judgment as "Officers."

Closed
2 Southern District June 3, 1963 | Secs. 5(a) and 5(c), 1933 Act. Complaint filed June 3, 1963. Preliminary injunction as to 2 defendants
of Florida.

entered June 10, 1963. Pending.
Eastern District of Oct. 20, 1961 Sec. 15(c)(1), 15(c)(3) and Final judgment as to 3 defendants and order appointing receiver entered
Pennsylvania.

Rules 15c1-2 and 15c3-1, Oct. 24, 1961. Pending as to receiver.

1934 Act.
2 Southern District April 23, 1963 Sec. 15(c)(3) and Rule Complaint filed April 23, 1963. Final judgment by consent entered as to
of Florida.

15c3–1, 1934 Act.

both defendants, May 1, 1963. Closed.
Southern District Oct. 10, 1962 Secs. 15(c)(1), 15(c)(3) and Complaint and request for the appointment of a receiver filed Oct. 10, 1962.
of California.

Rules 15c1-2 and 15c3-1, Final judgment by consent entered Oct. 24, 1962, as to 5 defendants.
1934 Act.

Assets of corporate defendant liquidated. Closed.
3 Southern District Mar. 1, 1963 Secs. 15(C)(3) and 17(a) and Summons and complaint filed Mar. 1, 1963. Preliminary injunction en-
of New York.

Rules 15c3-1 and 17a-3, tered as to 2 defendants Apr. 19, 1963. Pending.

1934 Act. 1 Delaware.

Dec. 7, 1960 Secs. 17(a)(1), 17(a)(3) and Complaint and request for the appointment of a receiver filed Dec. 7, 1960.

24, 1933 Act; Sec. 10(b) and Amended complaint filed Dec. 13, 1961, seeking to enjoin the intervenor Rule 10b-5, 1934 Act. Opinion rendered denying relief sought by plaintiff, July 23, 1962. Opin

ion rendered dismissing plaintiff's motion for a new trial, Aug. 31, 1962

Closed.
10 Southern District Apr. 29, 1958 Sec. 17(a), 1933 Act.

Final judgments entered as to 1 defendant by consent on Apr. 4, 1960, and
of New York.

by default as to 6 defendants, Apr. 12, 1960. Stipulation of discontinuance
as to 1 defendant Apr. 10, 1961. Stipulation of discontinuance as to 1
defendant, Mar. 5, 1963. Pending as to remaining defendant.

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3

3

5

Ernst & Co., Inc., F. R.

Ete-N-Run, Inc.-.-.
Fairfax Investment

Corp.

Federal Shopping

Way, Inc.
Financial Equity

Corp.
First American Secu-

rity Corp.
First Cascade Corp...

First Citizens Corp---

First Mortgage Corp.

of Stuart.
Flo-Mix Fertilizers

Corp.

Florida Citrus Indus

tries, Inc.
Fraser & Co., Inc.

Futures Unlimited of

Florida, Inc.
Gardner, Stanley and

Harris, Inc.
General Securities Co.,

Inc.

Glass Marine Indus

tries Inc.

Globe Securities Corp.

TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1963Continued

Num-
ber of
defend-
ants

U.S. District

Court

Initiating papers filed

Alleged violations

Status of case

[blocks in formation]

Northern District Aug. 16, 1962 Secs. 5(a), 5(c) and 17(a), Complaint filed Aug. 16, 1962. Final judgment by consent as to both of Illinois.

1933 Act.

defendants entered Sept. 26, 1962. Closed. Wyoming Oct. 12, 1962 Secs. 5 and 17(a), 1933 Act--- Complaint filed Oct. 12, 1962. Final judgments by consent entered Oct. 23,

1962, as to 1 defendant and Nov. 1, 1962, as to the remaining 2 defendants.

Closed.
Northern District Oct. 25, 1961 Sec. 15(c)(3), 17(a), and Final judgment by consent as to 2 defendants entered Dec. 21, 1961. Peti-
of California.

Rules 15c3-1 and 17a-3, tion for leave to file second amended and supplemental complaint and
1934 Act.

request for the appointment of a receiver filed Jan. 30, 1962. Request for

the appointment of a receiver withdrawn. Closed.
Southern District Jan. 23, 1958 Sec. 17(a), 1933 Act.

Final judgment by consent as to 1 defendant entered Apr. 3, 1958. Order
of New York.

dismissing as to remaining 3 defendants entered Dec. 21, 1962. Closed.
Montana.... Dec. 3, 1962 Sec. 17(a), 1933 Act.

Complaint filed Dec. 3, 1962. Preliminary injunction as to 3 defendants

and final judgment as to 2 defendants entered Jan, 16, 1963, Pending.
Arizona
Aug. 30, 1962 Secs. 5(a) and 5(c), 1933 Act Complaint filed Aug. 30, 1962. Order to show cause and temporary re-

straining order signed, Aug. 30, 1962. Pending.
Colorado.

July 9, 1962 Secs. 5(a), 5(c) and 17(a), Complaint filed July 9, 1962. Final judgement by consent as to 4 defend-
1933 Act.

ants and dismissal of action as to 3 defendants entered Sept. 20, 1962.
Dismissals of action as to 3 defendants entered Oct. 18, 1962, and as to

the remaining defendant Oct. 19, 1962. Closed.
Southern District Mar. 11, 1960 Sec. 10(b) and Rule 10b-5, Final judgment by consent as to 1 defendant entered Dec. 31, 1962. Final
of New York.

1934 Act.

judgment by default as to 1 defendant entered Jan. 18, 1963. Pending

as to 1 defendant.
District of Colum- | Jan. 26, 1962 Secs. 15(c)(3) and 17(a) and Complaint filed Jan. 26, 1962. Final judgment by default as to both de-
bia.

Rules 15c3-1 and 17a-3, fendants entered June 21, 1963. Pending.

1934 Act.
Southern District Sept. 25, 1959 Sec. 5, 1933 Act.

Notice of appeal filed from the order of preliminary injunction. Order
of New York.

entered by CA-2 affirming the judgment of the District Court. Petition

for certiorari denied on Oct. 10, 1960. Pending.
Southern District Jan. 25, 1963 Sec. 17(a), 1933 Act; Sec. Complaint and request for the appointment of a receiver filed Jan. 25, 1963.
of Florida.

10(b) and Rule 10b-5, 1934 Preliminary injunction entered as to 11 defendants and receiver appointed
Act.

Feb. 15, 1963. Pending.
Southern District Feb. 11, 1959 Secs. 5(a) and (c) and 17(a), Mandatory injunction by consent as to 1 defendant entered Feb. 26, 1959.
of New York.

1933 Act; Secs. 10(b), 13 Petition for reorganization under Chapter X of the Bankruptcy Act
and 16(a) and Rules 10b-5, filed in district court for the Eastern District of Michigan. Pending as
13a-1, 11 and 168-1, 1934 to the remaining defendant.

Act.
Eastern District Jan.

8, 1962 Secs. 15(c)(1), 15(c)(3), and Summons, complaint and request for the appointment of a receiver filed
of New York.

17(a) and Rules 16c1-2, Jan. 8, 1962. Final judgment as to 3 defendants entered Dec. 31. 1962.

15c3-1 and 178-3, 1934 Act. Receiver appointed Jan. 12, 1962. Pending as to receiver. Southern District Jan. 16, 1981 Sec. 17(a), 1933 Act; Secs. 10 Summons and complaint filed Jan. 16, 1961. Final judgment by consent of New York.

(b), 15(C)(3), 17(a) and entered as to 3 defendants Feb. 8, 1961. Final judgment entered as to 1
Rules 10b-6, 15c3-1 and defendant Mar. 22, 1961. Final judgment by default entered as to 1 de-
178-3, 1934 Act.

lendant Sept. 19, 1961. Pending as to the remaining defendant.

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Name of principal

defendant

Glory Hole, Inc..

Grand Teton Holding

Co. aka The Grand

Teton Corp.
Grant, Fontaine & Co.

Graye, James C.
Great Plains Accept-

ance Corp.
Great Western Land &

Development, Inc.
Green Shield Plan,

Inc.

Greenwald, William..

Guardian Investment

Corp.
Guild Films Co., Inc..

Gulf Intercontinental

Finance Corp., Ltd.
Guterma, Alexander

L. (F. L. Jacobs
Co.).

Hart & Co., N. A.

Harwyn Securities,

Inc.

Act.

6

22 Southern District | July 21, 1961 | Sec. 14(a) and Reg. 14, 1934 Complaint Aled July 21, 1961. Final Judgment as to 1 defendant entered of California.

Sept. 22, 1961. Order entered Sept. 27, 1961, dismissing as to 1 defendant.
Final judgment entered Oct. 18, 1961, as to 6 defendants and dismissing
action as to 14 defendants. Appeal filed Oct. 20, 1961, from the order on-
tered Oct. 18, 1961. Order affirrning and modifying judgment of District

court entered Jan. 17, 1962. Certiorari denied. Closed.
New Mexico. July 27, 1960 Sec. 17(a), 1933 Act; Sec. 10 Final judgment by consent as to 2 defendants entered Nov. 22, 1960. De-

(b) and Rule 10b-5, 1934 fault judgment as to 3 defendants entered Dec. 12, 1960. Final judgment
Act.

by consent as to the remaining defendant entered Jan. 30, 1963. Closed.
1 District of Co Mar. 30, 1962 Secs. 15(c)(3) and 17(a) and Complaint fled Mar. 30, 1962. Receiver appointed Apr. 2, 1962. Final
lumbia.

Rules 15c3-1, 17a-3 and judgment by consent as to the defendant entered Dec. 31, 1962. Pending
178-5, 1934 Act.

as to the receiver.
5 Southern District Mar. 15, 1963 Sec. 17(a), 1933 Act; Sec. 15 Complaint filed and order to show cause signed Mar. 15, 1963. Answers
of New York.

(c)(1) and Rule 15c1-2, filed. Preliminary injunctions denied June 26, 1963. Pending.
1934 Act.; Sec. 21(e), 1934

Act.
2 New Jersey. June 20, 1960 Secs. 15(c)(1), 15(c)(3) and Summons, complaint and request for the appointment of a receiver filed

Rules 15c1-2 and 15c3-1, June 20, 1960. Final judgment by the court as to 2 defendants entered
1934 Act.

Jan. 17, 1963. Appointment of a receiver denied. Appeal filed from final

judgment entered Jan. 17, 1963. Pending.
3 Northern District Sept. 4, 1962 Secs. 15(c)(3), and 17(a), and Complaint filed Sept. 4, 1962. Final judgment by consent as to 3 defend-
of New York.

Rules 15c3-1 and 17a-3, ants entered Sept. 4, 1962. Closed.

1934 Act. 3 Montana.

July 25, 1961 Secs. 17(a)(2) and 17(a)(3), Final judgment by consent entered as to 3 defendants and receiver ap-
1933 Act.

pointed July 28, 1961. Pending as to receiver.
4 Southern District Nov. 15, 1960 Secs. 5(a), 5(c) and 17(a), Complaint and request for the appointment of a receiver filed Nov. 15, 1960.
of Florida.

1933 Act; Sec. 15(a), 1934 Preliminary injunction entered Dec. 14, 1960. Receiver appointed Mar.
Act.

9, 1961. First receiver discharged and a new receiver appointed Mar. 27,

1961. Pending. 2 New Jersey. Mar. 2, 1960 Secs. 15(c)(1), 15(c)(2) and Opinion of the court rendering the issuance of a final judgment as to both

17(a) and Rules 15c1-2, defendants, moot. Closed.

15c3-1 and 17a-3, 1934 Act.
2 Southern District Jan. 11, 1961 Sec. 15(c)(3) and Rule 15c3 Complaint filed Jan. 11, 1961. Order to show cause and temporary restrain-
of Callfornia.

1, 1934 Act.

ing order signed, Oct. 30, 1961. Supplemental complaint and order for
the appointment of a receiver filed Jan. 30, 1962. Final judgment by
consent entered Mar. 26, 1963, as to both defendants. Order granting
request of the Commission to withdraw its motion for the appointment

of a receiver. Closed.
3 Eastern District Oct. 10, 1962 Secs. 15(c)(3), 17(a) and Summons and complaint filed Oct. 10, 1962. Final judgment by consent
of Pennsyl-

Rules 16c3-1 and 17a-3, entered Oct. 10, 1962, as to 3 defendants. Closed.
vanla.

1934 Act. 3 Arizona.

Apr. 8, 1963 Secs. 15(c)(1), 15(c)(2), 15(c) Complaint fled Apr. 8, 1963. Final judgment by consent entered as to 3

(3) and 17(a) and Rules defendants Apr. 11, 1963. Closed. 15c1-2, 15c2-1(a), 15c3-1

and 17a-3, 1934 Act. 6 New Jersey. June 20, 1962 Sec. 17(a), 1933 Act.

Summons and complaint filed June 20, 1962. Temporary restraining order

signed June 20, 1962. Preliminary injunction as to 6 defendants entered
June 29, 1962. Final judgment by default as to 1 defendant entered

June 20, 1963. Pending as to remaining 5 defendants.
6 Southern District Nov. 26, 1958 Secs. 5 and 17(a), 1933 Act. Final judgment by consent as to 1 defendant entered as to Sec. 5, 1933 Act,
of New York.

Mar. 3, 1961. Default judgment entered Aug. 29, 1961,

enjoining 1 defend ant as to Secs. 5 and 17(a) of 1933 Act. Remaining defendants dismissed. Closed.

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Honwood, Stanley E...

Higgins, G. Sterling...

Hiner, Donald M. dba

Hiner & Co.
Holman & Co., Inc.,

R. A.

Howell & Co., Inc.,

J. P.

Hubinger-Philipson,

Inc.

Hughes Homes AC

ceptance Corp.
Insured Mortgage &

Title Corp.

Investment Brokers of

New Jersey, Inc.

Jacoby & Co., Inc.

Janov, Samuel dba

Janov & Co.

Jay & Co.

Johns & Co., Inc., F.S.

Josephson, Sidney B.

(Stratford Securities Co., Inc.).

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TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1963Continued

Name of principal

defendant

Num-
ber of
defend-
ants

U.S. District

Court

Initiating papers Aled

Alleged violations

Status of case

[blocks in formation]

4 Southern District Aug. 1, 1962 Secs. 17(a), 10(b), 15(c)(3) Complaint and request for the appointment of a receiver filed Aug. 1, 1962.
of Texas.

and Rules 17a-3, 10b-5 Receiver appointed Aug. 10, 1962. Final judgment by consent as to 4
and 15c3-1, 1934 Act.

defendants entered Aug. 20, 1962. Pending as to receiver.
2 Massachusetts. May 15, 1961 Secs. 10(b)3, 15(c)(1), 15(c) Complaint and request for the appointment of a receiver filed May 15, 1961.

(3) and Rules 10b-5, 15c1-2 Final judgment entered by the court as to 2 defendants Oct. 6, 1961, and
and 15c3-1, 1934 Act.
permanent co-receivers appointed. Pending.

10?
6 Southern District Nov. 30, 1962 Secs, 17(a)(1), 17(a)(2) and Complaint filed Nov. 30, 1962. Preliminary injunction entered as to 4
of Indiana.

17(a)(3), 1933 Act; Secs. defendants and denied as to 2 defendants, and receiver appointed Dec. 20,
7(a)(1), 7(a)(2) and 42(e) 1962. Notice of appeal filed Dec. 21, 1962, by 4 defendants from the order

of Inv. Co. Act of 1940. of Preliminary Injunction entered Dec. 20, 1962. Pending. WE 2 Colorado

Aug. 3, 1962 Secs. 5(a), 5(c) and 17(a), Complaint filed Aug. 3, 1962. Final judgment by consent as to 2 defendants
1933 Act.

entered Jan. 3, 1963. Closed.
1

Northern District Aug. 16, 1962 Secs. 5(a)(1), 6(a)(2) and Complaint filed Aug. 16, 1962. Final judgment by consent entered Aug. 16,
of Texas.

5(c), 1933 Act.

1962. Closed
2 Southern District Nov. 27, 1962 Sec. 15(c)(3) and Rule Summons and complaint filed Nov.

27, 1962. Preliminary injunction as to
of New York.

1503-1, 1934 Act.

2 defendants filed Dec. 27, 1962. Pending.
8 Colorado..

June 12, 1963 Secs. 5(a), 5(c) and 17(a), Complaint filed June 12, 1963. Final judgments by consent as to 6 de-
1933 Act.

fendants entered June 18, 1963, and as to 1 defendant June 19, 1963.

Preliminary injunction entered June 20, 1963, as to 1 defendant. Pending. 3 Nevada

Oct.
5, 1962 Sec. 17(a), 1933 Act. Secs. Complaint filed Oct. 5, 1962. Final judgment by consent as to 3 defendants

15(a), 15(c)(1), 15(c)(3) entered Apr. 15, 1963. Closed.
and Rules 16c1-2 and

1503-1, 1934 Act.
1

Northern District | Mar. 11, 1963 Secs. B(a) and 5(c), 1933 Act. Complaint filed Mar. 11, 1963. Preliminary injunction entered as to 1
of California.

defendant Apr. 16, 1963. Pending.
46 Southern District Dec. 9, 1958 Secs. 5(b)(1) and (2), 10, Final judgment by consent as to 2 defendants entered Dec. 19, 1958. Order
of New York,

17(a)(i), (2) and (3), 1933 entered dismissing action as to 1 defendant Dec. 21, 1961. Order directing
Act.

clerk to mark case closed on Mar. 13, 1962. Motion for an order to set
aside said order was denied Apr. 24, 1962. Notice of appeal filed May 11,

1962, from the order of the district court entered Mar. 13, 1962. Pending.
Apr. 27, 1962 Secs. 15(b), 17(a) and Rules Summons and complaint fled Apr. 27, 1962. Final judgment by consent
15b-2 and 17a-3, 1934 Act. as to 3 defendants entered Apr. 19, 1963. Pending as to remaining

defendant.
6 Southern District Aug. 20, 1958 Sec. 17(a)(3), 1933 Act; Final judgment by the court as to 4 defendants and dismissing action as to 1
of California.

Secs, 10(b), 15(c)(1), 1934 defendant entered July 26, 1962. Closed.

Act. 4 Nevada.

Mar. 6, 1963 Secs. 5(a), 5(c) and 17(a), Complaint filed Mar. 6, 1963. Final judgment by consent as to 2 defendants 1933 Act.

entered June 4, 1963. Final judgment by consent as to 2 (lefendants entered June 24, 1963. Closed

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