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Sec. 15(c)(1), and Rule 1501 Complaint and request for the appointment of a receiver filed Oct. 11, 1961.
2, 1934 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.
Sec. 204, Inv. Adv. Act, 1940 Complaint filed Jan. 25, 1963. Action dismissed by stipulation, May 27,
and Rule 275.204-2.

1963. Closed.
Secs. 5(a) and (c), 1933 Act. 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. Secs. 150(3), 150(1), 17(a) Complaint seeking a mandatory order and appointment of a receiver filed

and Rules 15c3-1, 1501-2 July 2, 1962. Final judgment by consent as to 1 defendant entered July 26, and 17a-3, 1934 Act.

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. Sec. 17(a), 1933 Act; Sec. Complaint filed July 3, 1961. Preliminary injunction as to all defendants 15(c)(1), 1934 Act.

entered July 19, 1961. Pending. Secs. 15(e) (3) and 17(a) and Summons, complaint and request for mandatory injunction and appoint

Rules 15c3-1 and 17a-3, ment of a receiver filed Dec. 6, 1962. Final judgment by consent entered 1934 Act.

and receiver appointed Dec. 12, 1962. Pending as to receiver. Secs. 17(a)(2) and 17(a)(3), Complaint filed Oct. 5, 1962. Final judgments by consent entered Oct. 11, 1933 Act.

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. Seos. 15(c)(3) and 15(c)(1) Complaint filed Aug. 1, 1962. Supplemental complaint filed Oct. 29, 1962,

and Rules 15c1-2 and adding additional violations. Preliminary injunction by consent as to 2 1503-1, 1934 Act.

defendants entered Nov. 7, 1962. Pending. Secs. 5(a), 5(c) and 17(a), Complaint filed Sept. 13, 1962. Final judgment by consent as to 7 defend1933 Act.

ants entered Oct. 10, 1962. Closed.
Secs. 17(a), 17(d) and 17(e) Summons, complaint and request for the appointment of a receiver filed

and Rules 17d-1 and Sec. May 1, 1962. Stipulation dismissing the action as to 1 defendant entered
20(a), Sec. 36 and Rule Aug. 16, 1962. Amended complaint filed Nov. 9, 1962, adding 2 defendants
20a-1, Inv. Co. Act of to the above case. Orders of dismissal as to 4 defendants entered Nov.
1940; and Rules 14a-3, 13, 1962; as to 1 defendant Nov. 15, 1962, and as to 1 defendant Nov. 16,
14a-6 and 14a-9 of Regu 1962. Four other defendants dismissed. Pending as to remaining 13
lation 14.

defendants.
Sec. 10(b), and Rule 10b-5, Complaint and request for the appointment of a receiver filed Apr. 16, 1963.
1934 Act.

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. Sec. 15(c)(3) and Rule 15c3- Complaint filed July 30, 1962. Final judgment by consent as to both de1, 1934 Act.

fendants entered July 30, 1962. Closed. Secs. 5(a), 5(b)(1), 5(c) and Complaint filed Oct. 19, 1962. Preliminary injunction entered Oct. 23,

17(a), 1933 Act; and Sec. 1962, as to 2 defendants. Pending. 15(a), 1934 Act.

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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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9 District of July 20, 1962 Sec. 15(d), 1934 Act. Complaint and request for a mandatory injunction filed July 20, 1962. Columbia,

Judgment denied as to 6 defendants, May 6, 1963. Action dismissed as

to remaining 3 defendants, May 22, 1963. Closed. 5 Kansas..

Mar. 7, 1963 Secs. 5(a)(1), 5(a)(2), and Complaint filed Mar. 7, 1963. Final judgment by consent as to 5 defend.
5(c), 1933 Act.

ants entered Mar. 7, 1963. Closed.
2 Southern District Mar. 28, 1963 Secs. 6(a) and 5(c), 1933 Act. Complaint filed Mar. 28, 1963. Preliminary injunction as to both defend-
of Florida,

ants entered Apr. 12, 1963. Pending.
1 Kansas.

Dec. 10, 1962 Secs. 17(a)(1), 17(a)(2) and Complaint filed Dec. 10, 1962. Final judgment by consent as to the de

17(a)(3), 1933 Act; Sec. fendant entered Dec. 10, 1962. Closed.
10(b) and Rule 10b-5,

1934 Act.
6 Arizona

Aug. 2, 1961 secs. 17(a)(2) and 17(a)(3), Complaint filed Aug. 2, 1961. Preliminaty injunction by consent entered
1933 Act,

Sept. 5, 1961, as to 6 defendants. Order of dismissal entered Nov, 29,

1962, as to 6 defendants. Closed,
4 Nevada

Apr. 16, 1963 Secs. 5(a), 5(c) and 17(a), Complaint filed Apr. 16, 1963. Final judgment by consent as to 3 defend-
1933 Act.

ants entered Apr. 30, 1963. Pending as to the remaining defendant.
4 Colorado

Apr. 19, 1963 Secs. 5(a) and (c), 17(a) and Complaint and request for the appointment of a receiver filed Apr. 19, 1963.

19(b),

1933 Act; Secs. 10(b) Preliminary injunction by consent as to all defendants entered Apr. 26,
and 21(b) and (c) and 1963. Pending.

Rule 10b-5, 1934 Act.
43 New Jersey Dec. 30, 1958 Secs. 5(a)(1) and (2) and Final judgments by consent as to 4 defendants entered Jan. 19, 1959; as to

17(a)(1), (2), and (3), 1933 2 defendants Sept. 1, 1959; as to 9 defendants Apr. 7, 1961, and as to 1
Act.

defendant Jan. 1962. Order dismissing as to remaining 27 defendants

entered Jan. 31, 1962. Receiver discharged. Closed.
2 Alaska.

July 6, 1962 Sec. 17(a) and Rule 17a-3, Complaint filed July 6, 1962. Final judgment by consent as to both de-
1934 Act.

fendants entered July 6, 1962. Closed.
7 New Jersey. Feb. 14, 1963 Secs. 5(a), 5(C) and 17(a), Complaint filed Feb. 14, 1963. Preliminary injunction entered as to 2

1933 Act; Secs. 7(a) (1), defendants, Apr. 22, 1963. Order entered May 8, 1963, appointing trustee.
8(b), 17(a)(1), 17(e) (1), Pending.
23(a) and 36, Inv. Co.

Act, 1940.
1 Southern District June 15, 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 15c1-2, June 15, 1962. Preliminary injunction by consent entered July 11, 1962.
1503-1 and 17a-3, 1934 Act. Order entered July 12, 1962, withdrawing motion for the appointment

of a receiver. Pending.
1 Massachusetts. Feb. 20, 1963 Sec. 15(C)(3) and Rule 15c3- Complaint filed Feb. 20, 1963. Final judgment by consent entered March 1,

1, 1934 Act.

1963. Closed.
2 ..do

Sept. 13, 1962 Secs. 5(a), 5(c) and 17(a), Complaint filed Sept. 13, 1962. Final judgment by consent as to 2 de-
1933 Act.

fendants entered Feb. 14, 1963. Closed.
Southern District Mar. 16, 1961 Sec. 17(a) and Rule 17a-3, Summons and complaint filed Mar. 16, 1961. Final judgment by default
of New York.

1934 Act.

as to 1 defendant entered Nov. 30, 1961. Pending as to the remaining defendant.

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Western District May 9, 1963 Secs. 6(a)(1), 6(a)(2) and Complaint filed and final judgment entered as to all defendants, May 9, of Louisiana.

5(c), 1933 Act.

1963. Closed. Southern District Feb. 13, 1960 Secs. 5 and 17(a), 1933 Act; Final judgment by consent as to 3 defendants and receiver appointed Feb. of New York.

Sec. 10(b) and Rule 10b-6, 26, 1960. Final judgment by consent as to remaining defendants for
1934 Act.

violations of Sec. 5 of 1933 Act, Mar. 22, 1960. Pending as to receiver.
...do..

Nov. 7, 1957 Sec. 15(0)(3), and Rule Final judgment by consent entered. Closed.

1503-1. 1934 Act.
do.
Apr. 2, 1959 Sec. 15(d), 1934 Act.

Mandatory judginent by consent as to 2 defendants entered May 4, 1959.

Order of dismissal as to the remaining 3 defendants entered Nov. 27, 1962.

Closed
District of

Mar. 9, 1963 Secs. 5(a), 5(c) and 17(a) of Complaint filed Mar. 9, 1963. Final judgment by consent as to 1 defendant
Columbia.

1933 Act.

entered Mar. 15,

1963. Preliminary injunction as to 3 defendants entered

Mar. 18, 1963. Pending.
New Jersey. Apr. 24, 1962 | Sec. 17(a), 1933 Act.

Summons and complaint filed Apr. 24, 1962. Preliminary injunction as to

10 defendants entered May 16, 1962. Pending.
Northern District Jan. 23, 1963 Secs. 5(a) and 5(c), 1933 Act-- Complaint filed Jan. 23, 1963. Final judgment as to 1 defendant entered
of Texas.

Jan. 25, 1963. Closed
Southern District Mar. 20, 1963 Secs. 5(a), 5(c) and 17(a), Complaint filed Mar. 20, 1963. Final judgment by consent as to 5
of Florida.

1933 Act.

defendants entered Mar. 25, 1963. Closed. Montana. Feb. 28, 1963 Sec. 17(a), 1933 Act.

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.
Northern District May 15, 1961 Secs. 17(a)(2), 17(a)(3), 1933 Final judgment by consent entered as to 3 defendants and receiver
of Georgia.

Act; Secs. 15(c) (1), 15(c) appointed May 15, 1961. Pending as to receiver.
(3), 10(b), 17(a) and Rules
15c1-2, 1503-1, 10b-5 and

17a-3, 1934 Act.
Southern District Apr. 29, 1958 Seo. 17(a), 1933 Act.

Final judgment by consent as to 2 defendants. Opinion rendered dismiss-
of New York.

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.
do
Aug. 28, 1962 Secs. 15(b), 15(c)(1), 11(c)(3) Complaint filed Aug. 28, 1962. Preliminary injunction as to 3 defendants

and 17(a) and Rules 15b-2, entered Sept. 8, 1962. Pending.
15c1-2, 15c3–1 and 17a-3,

1934 Act.
Oct. 20, 1960 Sec. 17(a) and Rule 178-3, Summons and complaint filed Oct. 20, 1960. Default judgment as to 3
1934 Act.

defendants entered Mar. 21, 1961. Action dismissed as to 1 defendant.

Closed.
June 3, 1963 Sec. 15(c)(1), 15(c)(2), Summons, complaint and request for the appointment of a receiver filled.

15(c)(3), and Sec. 17(a) June 3, 1963. Preliminary injunction by consent as to 2 defendants en
and Rules 16c1-2, 15c2-1, tered June 12, 1963. Receiver appointed. Pending.

18c3-1 and 178-3, 1934 Act. Utah..

Feb. 15, 1963 Secs. 5(a), 5(c), and 17(a), Complaint filed Feb. 15, 1963. Final judgment by consent as to 3 defend1933 Act.

ants entered June 25, 1963. Closed, Northern District Nov. 9, 1962 Secs. 6(a)(1), 5(a)(2) and Complaint filed Nov. 9, 1962. Final Judgment by consent entered as to of Texas.

5(c), 1933 Act.

both defendants Nov. 9, 1962. Closed.

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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 Southern District Apr. 7, 1961 Secs. 15(c)(3), 17(a) and Summons and complaint filed Apr. 7, 1961. Opinion rendered May 15, of New York.

Rules 15c3-1 and 178-3, 1961, denying plaintiff's motion for preliminary injunction. Pending.

1934 Act.
2 Eastern District Mar. 20, 1962 Secs. 15(c)(1), 15(c)(3) and Complaint and request for the appointment of a receiver filed Mar. 20, 1962.
of New York.

17(a) and Rules 15c1-2, Final judgment by consent as to 2 defendants and order appointing a

1503-1 and 17a-3, 1934 Act. receiver entered Mar. 20, 1962. Pending. 6 New Jersey July 3, 1962 Sec. 15(e)(3) and Rule 15c3-1, Summons and complaint filed July 3, 1962. Action dismissed as to 1 defend

1934 Act.

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.
2 Southern District June 30, 1959 Secs. 15(c)(1) and 15(c)(3) | Final judgment by consent entered as to 2 defendants and receiver appointed
of New York.

and Rules 15c1-2 and 15c3 July 1, 1959. Order entered Aug. 27, 1962, discharging receiver and
1, 1934 Act.

referring final accounts to special master. Pending.
1 Minnesota Feb. 14, 1963 Secs.5(a) and 5(c), 1933 Act. Complaint filed Feb. 14, 1963. Final judgment by consent entered Mar. 19,

1963. Closed
13 Massachusetts.. Apr. 24, 1963 Secs. 5(a)(1), 5(a)(2) and Summons, complaint and request for the appointment of a receiver filed

5(c), 1933 Act; Secs. 7(a), Apr. 24, 1963. Final judgment by consent entered June 25, 1963, as to 3
7(c), 14(a), 15(a), 16(a), defendants and further appointing receivers. Order entered June 25,
17(4),17(e) (1), 17(0), 20(a), 1963, dismissing action as to the remaining 10 defendants. Pending as
23(C) (3), 30(a), 34(b), to receivers.
35(d), 36 and 37, and Rules
170-1, 20a-1 and 23c-1 of
Inv. Co. Act of 1940;
Rules 14a-3 and 14a-6,

Reg. 14 of 1934 Act.
3 Eastern District Dec. 11, 1962 Sec, 17(a), 1933 Act. Complaint filed Dec. 11, 1962. Final judgment by default as to 3 defendants
of Washington.

entered Apr. 3, 1963. Closed
4 Southern District Jan. 18, 1963 Sec. 15(c)(3) and Rule 15c3- Complaint filed Jan. 18, 1963. Order of preliminary injunction entered
of New York,

1, 1934 Act.

Feb. 4, 1963, as to 4 defendants. Pending.
3 Southern District A pr. 17, 1963 Sec, 15(c)(3) and Rule 15c3 Complaint filed Apr. 17, 1963. Final judgment by consent as to 2 defend-
of California.

1, 1934 Act.

ants entered Apr. 26, 1963. Final judgment by consent as to 1 defendant

entered Apr. 30, 1963. Closed.
2 Southern District Dec. 10, 1962 Secs. 15(c)(1), 15(c)(3), 17(a), Summons and complaint filed Dec. 10, 1962. Order entered Dec. 17, 1962
of New York.

and Rules 15c1-2, 15c3-1 appointing a receiver. Final judgment by consent as to 2 defendants
and 178-3, 1934 Act.

entered Feb. 27, 1963. Pending as to receiver.
4 .do.

Nov. 15, 1960 Secs. 15(c)(3) and 17(a) and Summons and complaint filed Nov. 15, 1960. Amended complaint adding

Rules 15c3-1 and 17a-3, additional violations and request for the appointment of a receiver filed. 1934 Act.

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.

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Western District June 14, 1963 Sec. 17(a), 1933 Act. Complaint filed and final judgment entered June 14, 1963. Closed. of Washington.

SPOT
Oregon. -
Apr. 18, 1961 .do.

Complaint filed Apr. 18, 1961. Final judgmont by consent entered Dec. 17,
1962 as to 4 defendants. Closed.

20
Western District Feb. 4, 1963 Sees. 5(a), 5(c) and 17(a), Complaint filed Feb. 4, 1963. Final judgemnts by consent entered Feb. 19,
of Louisiana.

1933 Act.

1963, as to 1 defendant and Feb. 20, 1963, as to 3 defendants. Closed. Southern District Jan. 6, 1961 Secs. 15(C) (1), 15(0) (3), 10(b) Summons, complaint and request for the appointment of a receiver filed of New York.

and Rule 1501-2, 15c3-1 Jan. 6, 1961 Receiver appointed Jan. 23, 1961. Final judgment by con

and 10b-5, 1934 Act. 3 sent as to both defendants entered May 24, 1963. Pending as to receiver. New Hampshire.. Feb. 26, 1963 Secs. 5(a), 5(c) and 17(a), Complaint filed Feb. 26, 1963. Preliminary injunction entered as to 2 de

1933 Act.
fendants Mar. 18, 1963. Pending.

7050
Eastern District Mar. 28, 1963 Secs. 5(a) and 5(c), 1933 Act. Complaint filed and final judgnent entered as to the defendant Mar. 28,
of Oklahoma.

1963. Closed.ORGEGELTL901
Massachusetts
Apr. 4, 1962 Secs.5(a) and 17(a), 1933 Act 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.

entered Jan. 4, 1963. Final judgment by default entered as to 3 defend

ants, May 14, 1963. Pending as to remaining 3 defendants. Southern District May 14, 1963. Secs. 15(c)(3), 15(c) (2) and Summons and complaint filed May 14, 1963. Final judgement by consent of New York.

17(a) and Rules 15c2-4, as to 2 defendants entered May 24, 1963. Pending as to the remaining

1503-1 and 17a-3, 1934 Act. defendant.
Northern District Dec. 6, 1960 Secs. 5(a) and 5(c), 1933 Act Summons and complaint filed Dec. 6, 1960. Pending.

of California.
Northern District Feb. 14, 1963. Secs. 5(a) and 5(c), 1933 Act Complaint filed Feb. 14, 1963. l'inal judgment by stipulation and consent
of Texas.
entered Feb. 14, 1963. Closed.

1995
District of Colum Dec. 22, 1962 Secs. 5(b) and 17(a), 1933 Complaint filed Dec. 22, 1962. Final judgment by consent as to 7 de-

Act.
fendants entered Jan. 18, 1963. Closed.

ST101
Western District Mar. 30, 1961 Secs. 15(c) (1), 15(c)(3) and Final judgment by consent entered May 24, 1961. Pending as to receiver.
of Pennsylva-

17(a) and Rules 15c1-2,
nia.

1503-1 and 17a-3, 1934 Act.
Southern District Jan. 28, 1959. Sec. 17(a), 1933 Act.

Final judgments by consent entered Jan. 6, 1961, as to 2 defendants and
of New York.

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. Northern District Apr. 5, 1963 Secs. 5(a) and 5(C), 1933 Act Complaint filed Apr. 5, 1963. Final judgment by consent as to 4 defendants of Texas.

entered Apr. 29, 1963. Order dismissing the action as to 1 defendant en.

tered May 5, 1963. Closed.
Colorado..

Apr. 9, 1963 Secs. 17(a)(2) and 17(a)(3), Complaint filed Apr. 9, 1963. Final judgment by consent as to 4 defendants
1933 Act.

entered Apr. 17, 1963. Closed.
Southern District Jan. 28, 1963 Sec. 15(C)(3), 1934 Act. Summons and complaint filed Jan. 28, 1963. Preliminary injunction entered
of New York.

as to 2 defendants, Apr. 5, 1963. Pending.
Southern District Sept. 17, 1962 Secs. 15(c)(1) and 15(c)(3) Complaint and request for the appointment of a receiver filed Sept. 17, 1962.
of California.

and Rules 15c1-2 and Final judgment by consent as to 2 defendants entered Sept. 19, 1962.
1503-1, 1934 Act.

Closed.
Utah

June 13, 1963 Sec. 17(a), 1933 Act; Sec. Complaint filed June 13, 1963. Preliminary injunction by consent as to 1
15(a), 1934 Act.

defendant and final judgment by consent as to the remaining defendant

entered June 25, 1963. Pending. Colorado.

June 25, 1962 Secs. 5(a), 5(c) and 17(a), Complaint and request for the appointment of a receiver filed June 25, 1962. 1933 Act.

Final judgment by consent as to 3 defendants entered July 19, 1962, Pending as to receiver.

7

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