Sec. 15(c) (1), and Rule 15c1- | Complaint and request for the appointment of a receiver filed Oct. 11, 1961. 2, 1934 Act.
Secs. 5(a) and (c), 1933 Act..
Preliminary injunction entered Oct. 18, 1961, as to 3 defendants. Order entered Oct. 20, 1961, denying motion for appointment of a receiver, and granting renewal of said motion if defendant company does not comply with stipulation dated Oct. 18, 1961. Order to show cause and temporary restraining order signed Feb. 2, 1962. Order permitting withdrawal of attorneys filed Apr. 3, 1962. Order entered Apr. 4, 1962, adjourning hear- ing to May 21, 1962, on plaintiff's application for appointment of receiver and on all pending motions. Order continuing date for hearing to Apr. 8, 1963. Pending.
Action dismissed by stipulation, May 27,
Sec. 204, Inv. Adv. Act, 1940 Complaint filed Jan. 25, 1963. and Rule 275.204-2. 1963. Closed. Complaint filed Mar. 30, 1962. Final judgments by consent as to 7 defend ants entered Apr. 24, 1962. Final judgment by default as to 1 defendant entered Nov. 29, 1962. One defendant dismissed Apr. 1, 1963. Closed. Complaint seeking a mandatory order and appointment of a receiver filed July 2, 1962. Final judgment by consent as to 1 defendant entered July 26, 1962; the court retained jurisdiction over the Commission's request for the appointment of a receiver. Order entered Aug. 14, 1962, dismissing action as to 3 defendants. Pending as to appointment of receiver. Complaint filed July 3, 1961. Preliminary injunction as to all defendants entered July 19, 1961. Pending.
Secs. 15c(3), 15c(1), 17(a) and Rules 15c3-1, 15c1-2 and 17a-3, 1934 Act.
Sec. 17(a), 1933 Act; Sec. 15(c) (1), 1934 Act. Secs. 15(c)(3) and 17(a) and Rules 15c3-1 and 17a-3, 1934 Act.
Secs. 17(a) (2) and 17(a) (3), 1933 Act.
Secs. 15(c)(3) and 15(c) (1)
and Rules 15c1-2 and 15c3-1, 1934 Act. Secs. 5(a), 5(c) and 17(a), 1933 Act. Secs. 17(a), 17(d) and 17(e) and Rules 17d-1 and Sec. 20(a), Sec. 36 and Rule 20a-1, Inv. Co. Act of 1940; and Rules 14a-3, 14a-6 and 14a-9 of Regu- lation 14.
Sec. 10(b), and Rule 10b-5, 1934 Act.
Sec. 15(c)(3) and Rule 15c3- 1, 1934 Act.
Secs. 5(a), 5(b)(1), 5(c) and 17(a), 1933 Act; and Sec. 15(a), 1934 Act.
Summons, complaint and request for mandatory injunction and appoint- ment of a receiver filed Dec. 6, 1962. Final judgment by consent entered and receiver appointed Dec. 12, 1962. Pending as to receiver. Complaint filed Oct. 5, 1962. Final judgments by consent entered Oct. 11, 1962 as to 1 defendant; Nov. 21, 1962, as to 1 defendant. Final judgment by default entered Nov. 21, 1962, as to the remaining defendant. Closed. Complaint filed Aug. 1, 1962. Supplemental complaint filed Oct. 29, 1962, adding additional violations. Preliminary injunction by consent as to 2 defendants entered Nov. 7, 1962. Pending.
Complaint filed Sept. 13, 1962. Final judgment by consent as to 7 defend- ants entered Oct. 10, 1962. Closed.
Summons, complaint and request for the appointment of a receiver filed May 1, 1962. Stipulation dismissing the action as to 1 defendant entered Aug. 10, 1962. Amended complaint filed Nov. 9, 1962, adding 2 defendants to the above case. Orders of dismissal as to 4 defendants entered Nov. 13, 1962; as to 1 defendant Nov. 15, 1962, and as to 1 defendant Nov. 16, 1962. Four other defendants dismissed. Pending as to remaining 13 defendants.
Complaint and request for the appointment of a receiver filed Apr. 16, 1963. Order to show cause signed Apr. 16, 1963, and temporary restraining order issued. Stipulation for extension and continuation of temporary re- straining order filed May 13, 1963. Pending.
Complaint filed July 30, 1962. Final judgment by consent as to both de- fendants entered July 30, 1962. Closed.
Complaint filed Oct. 19, 1962. Preliminary injunction entered Oct. 23, 1962, as to 2 defendants. Pending.
TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1963-Continued
Name of principal defendant
Secs. 5(a)(1), 5(a) (2), and 5(c), 1933 Act.
Secs. 5(a) and 5(c), 1933 Act.
Secs. 17(a) (1), 17(a) (2) and 17(a) (3), 1933 Act; Sec. 10(b) and Rule 10b-5, 1934 Act. Aug. 2, 1961 Secs. 17(a) (2) and 17(a) (3), 1933 Act.
Secs. 5(a), 5(c) and 17(a), 1933 Act.
Kansas.. Mar. 7, 1963 Southern District Mar. 28, 1963 of Florida. Dec. 10, 1962
Apr. 16, 1963 Apr. 19, 1963
July 6, 1962 Feb. 14, 1963
Secs. 5(a) and (c), 17(a) and 19(b), 1933 Act; Secs. 10(b) and 21(b) and (c) and Rule 10b-5, 1934 Act. Dec. 30, 1958 Secs. 5(a) (1) and (2) and 17(a)(1), (2), and (3), 1933 Act.
Sec. 17(a) and Rule 17a-3, 1934 Act.
Secs. 5(a), 5(c) and 17(a), 1933 Act; Secs. 7(a)(1), 8(b), 17(a)(1), 17(e)(1), 23(a) and 36, Inv. Co. Act, 1940. June 15, 1962 Secs. 15(c) (1), 15(c)(3) and 17(a) and Rules 15c1-2, 15c3-1 and 17a-3, 1934 Act.
Sec. 15(c)(3) and Rule 15c3- 1, 1934 Act.
Secs. 5(a), 5(c) and 17(a), 1933 Act.
Sec. 17(a) and Rule 17a-3, 1934 Act.
Complaint and request for a mandatory injunction filed July 20, 1962. Judgment denied as to 6 defendants, May 6, 1963. Action dismissed as to remaining 3 defendants, May 22, 1963. Closed.
Complaint filed Mar. 7, 1963. Final judgment by consent as to 5 defend- ants entered Mar. 7, 1963. Closed. Complaint filed Mar. 28, 1963. ants entered Apr. 12, 1963. Complaint filed Dec. 10, 1962. Final judgment by consent as to the de- fendant entered Dec. 10, 1962. Closed.
Preliminary injunction as to both defend- Pending.
Complaint filed Aug. 2, 1961. Preliminaty injunction by consent entered Sept. 5, 1961, as to 6 defendants. Order of dismissal entered Nov. 29, 1962, as to 6 defendants. Closed. Complaint filed Apr. 16, 1963. Final judgment by consent as to 3 defend- ants entered Apr. 30, 1963. Pending as to the remaining defendant. Complaint and request for the appointment of a receiver filed Apr. 19, 1963. Preliminary injunction by consent as to all defendants entered Apr. 26, 1963. Pending.
Final judgments by consent as to 4 defendants entered Jan. 19, 1959; as to 2 defendants Sept. 1, 1959; as to 9 defendants Apr. 7, 1961, and as to 1 defendant Jan. 1962. Order dismissing as to remaining 27 defendants entered Jan. 31, 1962. Receiver discharged. Closed.
Complaint filed July 6, 1962. Final judgment by consent as to both de- fendants entered July 6, 1962. Closed.
Complaint filed Feb. 14, 1963. Preliminary injunction entered as to 2 defendants, Apr. 22, 1963. Order entered May 8, 1963, appointing trustee. Pending.
Summons, complaint and request for the appointment of a receiver filed June 15, 1962. Preliminary injunction by consent entered July 11, 1962. Order entered July 12, 1962, withdrawing motion for the appointment of a receiver. Pending.
Complaint filed Feb. 20, 1963. Final judgment by consent entered March 1, 1963. Closed.
Complaint filed Sept. 13, 1962. Final judgment by consent as to 2 de- fendants entered Feb. 14, 1963. Closed.
Summons and complaint filed Mar. 16, 1961. Final judgment by default as to 1 defendant entered Nov. 30, 1961. Pending as to the remaining defendant.
Complaint filed and final judgment entered as to all defendants, May 9, 1963. Closed.
Final judgment by consent as to 3 defendants and receiver appointed Feb. 26, 1960. Final judgment by consent as to remaining defendants for violations of Sec. 5 of 1933 Act, Mar. 22, 1960. Pending as to receiver. Final judgment by consent entered. Closed.
Mandatory judgment by consent as to 2 defendants entered May 4, 1959. Order of dismissal as to the remaining 3 defendants entered Nov. 27, 1962. Closed.
Complaint filed Mar. 9, 1963. Final judgment by consent as to 1 defendant entered Mar. 15, 1963. Preliminary injunction as to 3 defendants entered Mar. 18, 1963. Pending.
Summons and complaint filed Apr. 24, 1962. Preliminary injunction as to 10 defendants entered May 16, 1962. Pending.
Complaint filed Jan. 23, 1963. Final judgment as to 1 defendant entered Jan. 25, 1963. Closed.
Complaint filed Mar. 20, 1963. Final judgment by consent as to 5 defendants entered Mar. 25, 1963. Closed.
Complaint and request for the appointment of a receiver filed Feb. 28, 1963. Final judgment by consent entered as to 5 defendants and conservator appointed Mar. 9, 1963. Stipulation and order entered dismissing the action as to 3 defendants Apr. 22, 1963. Pending as to conservator. Final judgment by consent entered as to 3 defendants and receiver appointed May 15, 1961. Pending as to receiver.
Final judgment by consent as to 2 defendants. Opinion rendered dismiss- ing action as to 9 defendants, Sept. 19, 1961. Appeal filed from the decision of the district court, Oct. 18, 1961. Stipulation dismissing appeal as to 1 defendant, Jan. 24, 1962. Decision rendered by CA-2 reversing and remanding for further procceedings as to 1 defendant and granting final judgment as to 1 defendant, June 21, 1962. Pending as to I defendant. Complaint filed Aug. 28, 1962. Preliminary injunction as to 3 defendants entered Sept. 8, 1962. Pending.
Summons and complaint filed Oct. 20, 1960. Default judgment as to 3 defendants entered Mar. 21, 1961. Action dismissed as to 1 defendant. Closed. Summons, complaint and request for the appointment of a receiver filed. June 3, 1963. Preliminary injunction by consent as to 2 defendants en tered June 12, 1963. Receiver appointed. Pending.
Final judgment by consent as to 3 defend- Closed.
Complaint filed Feb. 15, 1963. ants entered June 25, 1963. Complaint filed Nov. 9, 1962. both defendants Nov. 9, 1962.
Final Judgment by consent entered as to Closed.
TABLE 17.-Injunctive proceedings brought by the Commission which were pending during the fiscal year ended June 30, 1963-Continued
Feb. 14, 1963 Apr. 24, 1963
Secs. 15(c) (1) and 15(c)(3) and Rules 15c1-2 and 15c3- 1, 1934 Act.
Secs. 5(a) and 5(c), 1933 Act.
Secs. 5(a)(1), 5(a) (2) and 5(c), 1933 Act; Secs. 7(a), 7(c), 14(a), 15(a), 16(a), 17(d),17(e)(1), 17(f), 20(a), 23(c)(3), 30(a), 34(b), 35(d), 36 and 37, and Rules 17d-1, 20a-1 and 23c-1 of Inv. Co. Act of 1940; Rules 14a-3 and 14a-6, Reg. 14 of 1934 Act. Dec. 11, 1962 Sec. 17(a), 1933 Act. Jan. 18, 1963 Sec. 15(c) (3) and Rule 15c3- 1, 1934 Act. Apr. 17, 1963 Sec. 15(c) (3) and Rule 15c3- 1, 1934 Act.
Secs. 15(c) (1), 15(c) (3), 17(a), and Rules 15c1-2, 15c3-1 and 17a-3, 1934 Act. Secs. 15(c)(3) and 17(a) and Rules 15c3-1 and 17a-3, 1934 Act.
Summons and complaint filed Apr. 7, 1961. Opinion rendered May 15, 1961, denying plaintiff's motion for preliminary injunction. Pending. Complaint and request for the appointment of a receiver filed Mar. 20, 1962. Final judgment by consent as to 2 defendants and order appointing a receiver entered Mar. 20, 1962. Pending. Summons and complaint filed July 3, 1962. Action dismissed as to 1 defend- ant, Oct. 23, 1962. Supplemental complaint filed requesting the appoint- ment of a receiver and naming 1 additional defendant, and order entered appointing receiver, Jan. 29, 1963. Final judgment by consent as to 2 defendants entered June 18, 1963. Pending as to the remaining 3 defend- ants.
Final judgment by consent entered as to 2 defendants and receiver appointed July 1, 1959. Order entered Aug. 27, 1962, discharging receiver and referring final accounts to special master. Pending.
Complaint filed Feb. 14, 1963. Final judgment by consent entered Mar. 19, 1963. Closed. Summons, complaint and request for the appointment of a receiver filed Apr. 24, 1963. Final judgment by consent entered June 25, 1963, as to 3 defendants and further appointing receivers. Order entered June 25, 1963, dismissing action as to the remaining 10 defendants. Pending as to receivers.
Complaint filed Dec. 11, 1962. Final judgment by default as to 3 defendants entered Apr. 3, 1963. Closed, Complaint filed Jan. 18, 1963. Order of preliminary injunction entered Feb. 4, 1963, as to 4 defendants. Pending. Complaint filed Apr. 17, 1963. Final judgment by consent as to 2 defend- ants entered Apr. 26, 1963. Final judgment by consent as to 1 defendant entered Apr. 30, 1963. Closed.
Summons and complaint filed Dec. 10, 1962. Order entered Dec. 17, 1962 appointing a receiver. Final judgment by consent as to 2 defendants entered Feb. 27, 1963. Pending as to receiver. Summons and complaint filed Nov. 15, 1960.
Amended complaint adding additional violations and request for the appointment of a receiver filed. Stipulation consenting to withdrawal of motion for receiver filed. Final judgment by consent as to 2 defendants entered Apr. 24, 1961. Supple- mental and amended complaint filed seeking additional violations and for an order appointing a receiver.
Western District June 14, 1963
Shiels Securities, Inc...
Southern District of New York. New Hampshire..
Feb. 4, 1963 Jan. 6, 1961
Mar. 28, 1963 Apr. 4, 1962.
Complaint filed and final judgment entered June 14, 1963. Closed.
Complaint filed Apr. 18, 1961. Final judgment by consent entered Dec. 17, 1962 as to 4 defendants. Closed. 801 RIA 20 Complaint filed Feb. 4, 1963. Final judgemnts by consent entered Feb. 19, 1963, as to 1 defendant and Feb. 20, 1963, as to 3 defendants. Closed.201 Summons, complaint and request for the appointment of a receiver filed Jan. 6, 1961. Receiver appointed Jan. 23, 1961.20Final judgment by con- sent as to both defendants entered May 24, 1963. Pending as to receiver. Complaint filed Feb. 26, 1963. Preliminary injunction entered as to 2 de- fendants Mar. 18, 1963. Pending. [TO INS Complaint filed and final judgnent entered as to the defendant Mar. 28, 1963. Closed.
Complaint filed Apr. 4, 1962. Final judgement by consent as to 2 de- fendants entered Apr. 16, 1962. Final judgement as to the remaining defendant entered June 18, 1962. Closed.
District of Colum- Dec. 20, 1962. Secs. 5(a), 5(c) and 17(a), Complaint filed Dec. 20, 1962. Preliminary injunction as to 6 defendants bia. 1933 Act.
Final judgments by consent entered Jan. 6, 1961, as to 2 defendants and Apr. 5, 1962, as to 2 defendants. Final judgment by consent as to 1 defendant entered Oct. 19, 1962. Final judgment by consent as to 1 defendant entered Dec. 13, 1962. Order dismissing as to the remaining 1 defendant entered Dec. 31, 1962. Closed.
Apr. 5, 1963. Secs. 5(a) and 5(c), 1933 Act Complaint filed Apr. 5, 1963. Final judgment by consent as to 4 defendants entered Apr. 29, 1963. Order dismissing the action as to 1 defendant entered May 5, 1963. Closed.
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