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

Status of case

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.

National Capital Corp.

9

District of
Columbia.

July 20, 1962

Sec. 15(d), 1934 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

Feb. 20, 1963

Sept. 13, 1962

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

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.