Annual Report of the SEC.

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),
1933 Act; Secs. 15(c) (1),
15(c)(3) and 10(b) and
Rules 15c1-2, 15c3-1 and
10b-5, 1934 Act.
Secs. 5(a) and 5(c), 1933 Act.
Sec. 36 and 16(a), Inv. Co.
Act of 1940.

Secs. 5(a), 5(c) and 17(a),
1933 Act.

Sec. 17(a), 1933 Act; Sec.
15(c)(3) and Rule 15c3-1,
1934 Act.

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
entered Jan. 10, 1963. Closed.

Default Judgment entered as to 1 defendant, Feb. 29, 1960. Court judg-
ment entered as to 1 defendant June 9, 1960. Order dismissing action as
to the remaining 3 defendants entered Dec. 19, 1962. Closed.
Complaint filed Mar. 25, 1963. Final judgment by consent entered Mar.
25, 1963. Closed.
Complaint filed July 19, 1960. Complaint amended to include additional
violations and appointment of receiver requested, Aug. 17, 1960. Final
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.

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.
10(b) and 15(c)(1), and
Rules 10b-5 and 15c1-3,
1934 Act.

Secs. 15(c) (3) and 17(a), and
Rules 15c3-1 and 17a-3,
1934 Act.

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

Complaint and request for the appointment of a receiver filed Sept. 17,
1960. Receiver appointed and temporary restraining order signed Sept.
17, 1960. Final judgment as to 2 defendants entered Sept. 26, 1960. Pend-
ing as to receiver.

Summons and complaint filed Apr. 4, 1962. Final judgment by the court
as to 4 defendants entered Mar. 7, 1963. Closed.

Complaint and request for appointment of a receiver filed Apr. 15, 1963.
Final judgment by consent entered and receiver appointed Apr. 15, 1963.
Pending.
Complaint filed Aug. 14, 1962. Final judgment by consent as to 1 defendant
and order dismissing action as to the remaining defendant entered Sept. 4,
1962. Closed.
Complaint and request for the appointment of a receiver filed Sept. 8, 1961.
Stipulation dismissing request for receiver for mootness entered Mar.
12, 1963. Final judgment by the court entered May 20, 1963, as to both
defendants. Closed.

Complaint filed Nov. 6, 1962. Preliminary injunction entered as to both
defendants Nov. 14, 1962.

Florida Citrus Indus

June 3, 1963

Dec. 7, 1960

tries Inc.

Southern District

of Florida.

Eastern District of Oct. 20, 1961
Pennsylvania.

Southern District April 23, 1963

Oct. 10, 1962

17(a), Rules 15c1-2, 15c3-1
and 17a-3, 1934 Act.
Secs. 5(a), 5(c) and 17(a),

1933 Act.

Sec. 15(c)(3) and Rule 15c31, 1934 Act.

Sec. 17(a) (2) and (3), 1933
Act.

Sec. 15(c) (3) and Rule 15c3-
1, 1934 Act.

Sec. 17(a), 1933 Act.

Secs. 10(b), 15(c)(3) and
17(a) and Rules 10b-5,
15c3-1, 17a-3 and 17a-4,
1934 Act.

Secs. 15(c)(3) and 17(a) and
Rules 15c3-1 and 17a-3.
Secs. 5(a), 5(c) and 17(a),
1933 Act.

Sec. 15(d), 1933 Act.

Secs. 5(a) and 5(c), 1933 Act.
Sec. 15(c)(1), 15(c)(3) and
Rules 15c1-2 and 15c3-1,
1934 Act.

Sec. 15(c)(3) and Rule
15c3-1, 1934 Act.
Secs. 15(c) (1), 15(c)(3) and
Rules 15c1-2 and 15c3-1,
1934 Act.

Mar. 1, 1963 Secs. 15(c) (3) and 17(a) and
Rules 15c3-1 and 17a-3,
1934 Act.

Secs. 17(a) (1), 17(a)(3) and
24, 1933 Act; Sec. 10(b) and
Rule 10b-5, 1934 Act.

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.
30, 1962, as to 5 defendants. Closed."

Complaint and request for the appointment of a receiver filed Mar. 29, 1962.
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.

Complaint filed Mar. 10, 1961. Final judgment by consent as to 17 defend-
ants entered Apr. 3, 1963. Order entered May 17, 1963, dismissing the
action as to the remaining defendant. Closed.

Summons and complaint filed Nov. 21, 1961. Answer filed. Final judg-
ment by default as to 1 defendant entered Feb. 6, 1963. Pending as to
remaining defendant.

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

Complaint and request for the appointment of a receiver filed Mar. 26, 1963.
Final judgments by consent entered as to both defendants, May 20, 1963.
Request for receiver withdrawn. Closed.

Complaint filed Aug. 10, 1962. Final judgment by consent as to 2 defendant
entered Aug. 15, 1962. Closed.
Complaint filed Feb. 27, 1963. Final judgment by consent entered as to
both defendants Mar. 8, 1963. Closed.

Final judgment by consent as to 1 defendant entered Mar. 31, 1960. Two
remaining defendants were included in this judgment as "Officers."
Closed.
Complaint filed June 3, 1963. Preliminary injunction as to 2 defendants
entered June 10, 1963. Pending.

Final judgment as to 3 defendants and order appointing receiver entered
Oct. 24, 1961. Pending as to receiver.

Complaint filed April 23, 1963. Final judgment by consent entered as to
both defendants, May 1, 1963. Closed.

Complaint and request for the appointment of a receiver filed Oct. 10, 1962.
Final judgment by consent entered Oct. 24, 1962, as to 5 defendants.
Assets of corporate defendant liquidated. Closed.

Summons and complaint filed Mar. 1, 1963. Preliminary injunction en-
tered as to 2 defendants Apr. 19, 1963. Pending.

Complaint and request for the appointment of a receiver filed Dec. 7, 1960.
Amended complaint filed Dec. 13, 1961, seeking to enjoin the intervenor
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.

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

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

Name of principal
defendant

Num-
ber of

U.S. District
Court

Initiating papers filed

Alleged violations

Status of case

Secs. 5(a), 5(c) and 17(a),
1933 Act.

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
Secs. 5(a), 5(c) and 17(a),
1933 Act.

defend-
ants

Sec. 17(a), 1933 Act.
Sec. 17(a), 1933 Act..

ance Corp.

Great Western Land &

Arizona..

Aug. 30, 1962

July 9, 1962

Mar. 11, 1960

Complaint filed Aug. 16, 1962. Final judgment by consent as to both
defendants entered Sept. 26, 1962. Closed.

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.

Final judgment by consent as to 2 defendants entered Dec. 21, 1961. Peti-
tion for leave to file second amended and supplemental complaint and
request for the appointment of a receiver filed Jan. 30, 1962. Request for
the appointment of a receiver withdrawn. Closed.

Final judgment by consent as to 1 defendant entered Apr. 3, 1958. Order
dismissing as to remaining 3 defendants entered Dec. 21, 1962. Closed.
Complaint filed Dec. 3, 1962. Preliminary injunction as to 3 defendants
and final judgment as to 2 defendants entered Jan. 16, 1963. Pending.
Complaint filed Aug. 30, 1962. Order to show cause and temporary re-
straining order signed, Aug. 30, 1962. Pending.

Complaint filed July 9, 1962. Final judgement by consent as to 4 defend-
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.

Sec. 10(b) and Rule 10b-5, Final judgment by consent as to 1 defendant entered Dec. 31, 1962. Final
1934 Act.
judgment by default as to 1 defendant entered Jan. 18, 1963. Pending
as to 1 defendant.

Secs. 15(c)(3) and 17(a) and
Rules 15c3-1 and 17a-3,
1934 Act.
Sec. 5, 1933 Act..

Sec. 17(a), 1933 Act; Sec.
10(b) and Rule 10b-5, 1934
Act.
Feb. 11, 1959 Secs. 5(a) and (c) and 17(a),
1933 Act; Secs. 10(b), 13
and 16(a) and Rules 106-5,
13a-1, 11 and 16a-1, 1934
Act.

Jan. 8, 1962 Secs. 15(c) (1), 15(c)(3), and

Jan. 16, 1961

17(a) and Rules 15c1-2,
15c3-1 and 17a-3, 1934 Act.
Sec. 17(a), 1933 Act; Secs. 10
(b), 15(c) (3), 17(a) and
Rules 10b-6, 15c3-1 and
17a-3, 1934 Act. Co

Complaint filed Jan. 26, 1962. Final judgment by default as to both de-
fendants entered June 21, 1963. Pending.

Notice of appeal filed from the order of preliminary injunction. Order
entered by CA-2 affirming the judgment of the District Court. Petition
for certiorari denied on Oct. 10, 1960. Pending.
Complaint and request for the appointment of a receiver filed Jan. 25, 1963.
Preliminary injunction entered as to 11 defendants and receiver appointed
Feb. 15, 1963. Pending.

Mandatory injunction by consent as to 1 defendant entered Feb. 26, 1959.
Petition for reorganization under Chapter X of the Bankruptcy Act
filed in district court for the Eastern District of Michigan. Pending as
to the remaining defendant.

Summons, complaint and request for the appointment of a receiver filed
Jan. 8, 1962. Final Judgment as to 3 defendants entered Dec. 31. 1962.
Receiver appointed Jan. 12, 1962. Pending as to receiver.
Summons and complaint filed Jan. 16, 1961. Final judgment by consent
entered as to 3 defendants Feb. 8, 1961. Final judgment entered as to 1
defendant Mar. 22, 1961. Final judgment by default entered as to 1 de-
fendant Sept. 19, 1961. Pending as to the remaining defendant.

Henwood, Stanley E...

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
of New York.

(c) (1) and Rule 15c1-2,
1934 Act.; Sec. 21(e), 1934
Act.
June 20, 1960 Secs. 15(c)(1), 15(c)(3) and
Rules 15c1-2 and 15c3-1,
1934 Act.

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),
1933 Act.

Secs. 5(a), 5(c) and 17(a),
1933 Act; Sec. 15(a), 1934
Act.

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
Rules 15c3-1 and 17a-3,
1934 Act.

Apr. 8,1963 Secs. 15(c) (1), 15(c)(2), 15(c)
(3) and 17(a) and Rules
15c1-2, 15c2-1(a), 15c3-1
and 17a-3, 1934 Act.
Sec. 17(a), 1933 Act.

June 20, 1962

Summons, complaint and request for the appointment of a receiver filed
June 20, 1960. Final judgment by the court as to 2 defendants entered
Jan. 17, 1963. Appointment of a receiver denied. Appeal filed from final
judgment entered Jan. 17, 1963. Pending.

Complaint filed Sept. 4, 1962. Final judgment by consent as to 3 defend-
ants entered Sept. 4, 1962. Closed.

Final judgment by consent entered as to 3 defendants and receiver ap-
pointed July 28, 1961. Pending as to receiver.

Complaint and request for the appointment of a receiver filed Nov. 15, 1960.
Preliminary injunction entered Dec. 14, 1960. Receiver appointed Mar.
9, 1961. First receiver discharged and a new receiver appointed Mar. 27,
1961. Pending.

Opinion of the court rendering the issuance of a final judgment as to both
defendants, moot. Closed.

Complaint filed Jan. 11, 1961. Order to show cause and temporary restrain-
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.

Summons and complaint filed Oct. 10, 1962. Final judgment by consent
entered Oct. 10, 1962, as to 3 defendants. Closed.

Complaint filed Apr. 8, 1963. Final judgment by consent entered as to 3
defendants Apr. 11, 1963. Closed.

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.

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.
Final judgment entered by the court as to 2 defendants Oct. 6, 1961, and
permanent co-receivers appointed. Pending.

Complaint filed Nov. 30, 1962. Preliminary injunction entered as to 4
defendants and denied as to 2 defendants, and receiver appointed Dec. 20,
1962. Notice of appeal filed Dec. 21, 1962, by 4 defendants from the order
of Preliminary Injunction entered Dec. 20, 1962. Pending.

Complaint filed Aug. 3, 1962. Final judgment by consent as to 2 defendants
entered Jan. 3, 1963. Closed.

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
entered dismissing action as to 1 defendant Dec. 21, 1961. Order directing
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.
Summons and complaint filed Apr. 27, 1962. Final judgment by consent
as to 3 defendants entered Apr. 19, 1963. Pending as to remaining
defendant.

Final judgment by the court as to 4 defendants and dismissing action as to 1
defendant entered July 26, 1962. Closed.

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.

Southern District

Aug. 1, 1962

of Texas.

Keller Brothers Securities Co., Inc.

Massachusetts.

May 15, 1961

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