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

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14 New Jersey Apr. 24, 1961 Secs. 7, 12, 18, 20, 21, 30, 34, Final judgments by consent as to 5 defendants entered May 31, 1961. Dis

36, 48 and Rule 30d-1 Iny. missal as to the remaining defendants entered May 31, 1961. Order
Co. Act of 1940.

entered appointing interim board of directors. Pending.
8 Eastern District May 22, 1961 Sec. 15(d), 1934 Act.

Mandatory injunction entered Jan. 26, 1962. Appeal filed Mar. 22, 1962.
of Missouri.

District Court decision affirmed by Court of Appeals for the Eighth

Circuit Oct. 19, 1962. Closed.
1 District of Co- Oct. 1, 1962 Secs. 5(a)(1), 5(a)(2) and Complaint Aled Oct. 1, 1962. Pending.
lumbia.

5(c), 1933 Act; Secs. 7(b),

42(6) Inv. Co. Act of 1946. Nevada.

Dec. 17, 1962 Secs. 5(a), 5(c) and 17(a) of Complaint filed Dec. 17, 1962. Final judgment by consent as to 4 defend

1933 Act; Sec. 15(a) and ants entered May 22, 1963. Closed.

15(b) of 1934 Act.
Northern District Mar. 26, 1963 Secs. 5(a) and 5(c), 1933 Act; Complaint filed Mar. 26, 1963. Final judgment by consent as to 4 defend-
of Alabama.

Sec. 15(a), 1934 Act.

ants entered Mar. 26, 1963. Closed.
Wyoming.---- Oct. 4, 1962 Secs. 5 and 17(a), 1933 Act... Complaint filed Oct.

4, 1962. Final judgments by consent entered Oct. 22,
1962 as to 1 defendant; Nov, 21, 1962, as to 2 defendants. Final judgment

by default entered Nov. 21, 1962, as to the remaining defendant. Closed.
2 | Montana

Jan. 3, 1963 Sec. 17(a), 1933 Act.

Complaint and request for receiver filed Jan. 3, 1963. Final judgment by
consent as to 2 defendants entered and receiver appointed Mar. 6, 1963.

Pending as to receiver.
1 Southern District Oct. 18, 1957 Sec. 15(c)(3) and Rule 15c3- Notice of appeal filed Jan. 12, 1959, by Commission from the order of the
of New York.

1, 1934 Act.

district court denying final judgment Jan. 6, 1959. Pending. 3 .do.

Feb. 6, 1961 Secs. 15(c)(3), 15(c)(1), 17(a) Summons and complaint filed Feb. 6, 1961. Amended complaint filed

and Rules 15c3-1, 15c1-2 Feb. 14, 1961 seeking additional violations of Sec. 15(C)(1) and Rule 1501-2
and 17a-3, 1934 Act.

of 1934 Act and for an order appointing a receiver. Order of prelimi-
nary injunction entered Mar. 27, 1961, and receiver appointed Mar. 30,
1961. Court enlarged receiver's powers and directed him to liquidate
corporate defendant. Permanent injunction by default entered as to all
defendants, Dec. 1, 1961. Pending as to receiver.

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2 Maryland.. July 3, 1962 Sec. 15(e)(3) and Rule 15c3- | Complaint and request for appointment of a receiver entered July 3, 1962.

1, 1934 Act.

Final judgment entered as to both defendants by consent, July 3, 1962.

Pending as to receiver.
2 District of

Dec. 8, 1961 Secs. 15(c)(1), 15(c)(3) and Final judgment by consent as to both defendants, and order appointing re-
Columbia.

17(a), and Rules 15c1-2, ceiver entered Dec. 11, 1961. Order entered discharging 1 defendant,
15c3-1 and 178-3, 1934 Act. individually, from the final judgment and receivership. Order entered

discharging equity receiver. Closed. 3 .do.

Mar. 5, 1963 Secs. 17(a), 1933 Act, and 7, Complaint and request for appointment of a receiver filed Mar. 5, 1963.

17(a) and 4 and Rules Order entered Mar. 6, 1963, appointing receiver. Preliminary injunction

178-3 and 17a-5, 1934 Act. entered as to 3 defendants Apr. 10, 1963. Pending. 2 Nevada. Apr. 12, 1963 Sec. 17(a), 1933 Act.

Complaint filed Apr. 12, 1963. Preliminary injunction entered May 3,

1963, as to 1 defendant. Pending. 2 do

July 24, 1961 Secs. 17(a)(2) and 17(a)(3), Summons and complaint filed July 24, 1961. Order entered dismissing the
1933 Act.

action as to both defendants, Jan. 7, 1963. Closed.
7 Utab.
June 22, 1962 Secs. 5(a) and 5(c) 1933 Act.. Complaint filed June 22, 1962. Final judgment by consent as to 4 defend-

ants entered Aug. 3, 1962. Order entered dismissing the action as to 3

defendants Aug. 3, 1962. Closed.
3 Southern District June 7, 1962 Secs. 15(a) and 17(a), Rule Summons and complaint filed June 7, 1962. Final judgment by consent
of New York.

17a-3, 1934 Act.

entered as to 2 defendants Feb. 20, 1963. Final judgment by default as

to 1 defendant entered May 31, 1963. Pending,
Colorado.

Apr. 12, 1962 Secs. 5(a) and 5(c) and Sec. Complaint filed Apr. 12, 1962. Final judgments by consent as to 5 defend-
17(a), 1933 Act.

ants entered Apr. 27, 1962, and action dismissed as to 1 defendant. Final
judgments by consent as to 2 defendants entered June 18, 1962, and as to
i defendant July 18, 1962. Final judgment by consent as to 2 defendants

entered May 21, 1963. Closed. 2 Southern District Sept. 27, 1956 Sec. 15(c)(3) and Rule 15c3-1, Note of issue hled Aug. 6, 1958. Stipulation dismissing action as to both of New York.

1934 Act.

defendants entered Mar. 5, 1963. Člosed.

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11

Zwang & Co., Inc.,

Benjamin.

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TABLE 18.Proceedings by the Commission to enforce subpoenas pending during the fiscal year ended June 30, 1963

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National Bank of

Commerce of Seattle.

2 Western District Apr. 5, 1963

of Washington.

Application Apr. 5, 1963, for an order directing respondents to show cause why order should not issue requiring compliance with subpoena. Order entered Apr. 23, 1963, compelling respondents to comply with Commission

subpoena. Closed.
Application Sept. 20, 1962, for an order directing respondents to show cause

why order should not issue requiring compliance with subpoena. Order
entered consolidating related subpoena action entitled S.E.C.v. Alfred 0.
Brehmer with S. E. C. v. Forrest Parrott. Notice of appeal filed from
order, dated Apr. 24, 1963, conditioning enforcement of subpoena. Briefs

filed. Pending.
Order Sept. 28, 1962, directing respondent to show cause why an order should

not issue requiring compliance with subpoena. Order entered Dec. 5, 1962, compelling respondent to comply with order of Sept. 28, 1962. No

tice of appeal filed from order entered Dec. 5, 1962. Pending. Order Sept. 21, 1961, directing respondent to show cause why an orders hould

not issue requiring compliance with subpoena. Commission's motion to

dismiss granted. Closed. Order June 13, 1962, directing respondent to show cause why order should

not issue requiring compliance with subpoena. Order to show cause

returnable July 5, 1962. Pending. Order Aug. 17, 1962, directing respondent to show cause why order should

not issue requiring compliance with subpoena. Order to show cause

returnable Aug. 31, 1962. Pending. Application for an order compelling respondents to comply with subpoena

issued. Order Nov. 27, 1962, directing respondents to comply with Commission subpoena. Closed.

TABLE 19.-Actions pending during fiscal year ended June 30, 1963, to enforce voluntary plans under Section 11(e) to comply with Section

11(b) of the Public Utility Holding Company Act of 1935

Name of case

U.S. District Court

Initiating papers filed

Status of case

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Application filed by Commission for an order enforcing the carrying out of a plan pursuant
to Sec. 11(d) and 18(f) of the 1935 Act as per Commission order of July 14, 1960. Order
Sept. 2, 1960, approving and enforcing plan with the court taking jurisdiction and posses-
sion of Arkansas Fuel Oil Corp. and its assets. Plan consummated Dec. 2, 1960. Fees
and expenses hearings held. Record thereon closed Dec. 5, 1961. Certain fees approved
and paid. Certain other fee claims pending. Pending.
Petition filed June 25, 1956, by Cities Service Company for an order requiring Elias Auer-

back to show cause why he should not be adjudged in comtempt of order entered Jan. 29,
1953. Petition filed by Louis E. Marron July 23, 1956, seeking intervention. Order
Oct. 26, 1956, denying petition for intervention but directing the petitioner be permitted
to appear amicus curiae. This action was mooted by the claims settlement approved and

enforced as a part of the Sec. 11(d) plan and consummated Dec. 2, 1960. Closed.
Application filed by Commission for an order enforcing the carrying out of an amended plan

pursuant to Sec. 11(e) of the 1935 Act as per Commission order of Nov. 5, 1962, and to
enjoin interference with the plan. Order Dec. 13, 1962, approving and enforcing the

amended plan, Pending.
Application by Long Island Lighting Co. for an order extending time for the exchange of its
old stock for the new stock provided in the plan of consolidation from Oct. 24, 1960 to
Oct. 24, 1962. Order Oct. 19, 1960, granting application with Commission's consent

attached. Closed.
Supplemental application filed by Commission for an order enforcing the carrying out of

amendments to a plan pursuant to Sec. 11(e) and 18(I) of the 1935 Act approved by Commission order of Aug. 11, 1960, and to enjoin interference with amended plan. Order Sept. 14, 1960, approving and enforcing amendments to the plan. Pending.

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