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Application filed by Commission for an order enforcing the carrying out of a plan pursuant
to Sec. 11(e) of the 1935 Act approved by Commission order entered Oct. 19, 1961, and
enjoining interference with the plan. Order Dec. 1, 1961, approving and enforcing plan.
Pending.

Application filed Nov. 10, 1952. Plan approved and enforced Dec. 11, 1952. Petition filed
Feb. 18, 1963, for an order approving the efforts to locate all stockholders of The North
American Co. as reasonable and releasing jurisdiction over common stock of Union Elec-
tric Company Funds held for distribution to such stockholders. Application was filed
by company with district court and jurisdiction was released by court in order dated
Feb. 18, 1963. Closed.
Application was filed by company with district court and jurisdiction was released by court
in order dated June 6, 1963. Closed.

Supplemental application filed by Commission for an order enforcing the carrying out of
Step V as amended of the Standard Plan pursuant to Sec. 11(e) of the 1935 Act approved
by Commission order of Jan. 19, 1961, and to enjoin interference with carrying out of the
plan. Order Apr. 22, 1961, approving and enforcing plan and reserving jurisdiction to
the court. Pending.

Application filed by Commission for an order enforcing Step I of a plan pursuant to Sec.
11(e) of the 1935 Act as approved by Commission order of Aug. 10, 1960. Commission's
memorandum on its application filed. Brief and supplemental brief filed by John B.
Kelaghan in support of his statement of objections. Order Oct. 21, 1960, enforcing pro-
visions of Step I of plan with the court reserving jurisdiction. Notice of appeal filed Jan.
25, 1961, by Kelaghan from the order of the district court. Stipulation and order Jan. 5,
1961, suspending order of Oct. 21, 1960, pending appeal. Briefs for appellants and Valley
Gas Co., et al., filed. Commission's brief Feb. 23, 1961, served. Judgment by CA-1
Mar. 24, 1961, affirming order of the district court. Pending.

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TABLE 20.-Contempt proceedings pending during the fiscal year ended June 30, 1963

CRIMINAL CONTEMPT PROCEEDINGS

TABLE 21.-Petitions for review of orders of Commission pending in courts of appeals during the fiscal year ended June 30, 1963

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Commission action appealed from and status of case

Petition to review order Mar. 28, 1962, affirming the disciplinary action taken against petitioner by NASD, Inc. Pending.

Order of Aug. 15, 1962, revoking the broker-dealer registration of Investment Service Company and
finding petitioner as cause of such revocation. Pending.

Order of Feb. 6, 1961, finding petitioner to be a cause of the broker-dealer registration of Mac Robbins Co.,
Inc. Petitioner's brief and appendix filed. Opinion and judgment entered by CA-2 remanding case
to the Commission. Commission opinion pursuant to remand promulgated July 11, 1962. Closed.
Petition to review Commission order, July 11, 1962, reaffirming its findings naming petitioner a cause of
the revocation of the broker-dealer registration of Mac Robbins & Co. Opinion of CA-2 affirming
the decision of Commission. Closed.
Order of June 8, 1962, suspending petitioner's broker-dealer registration pending final determination of
the issue of revocation. Notice of motion for stay filed June 20, 1962. Dismissal by stipulation entered
Jan. 14, 1963. Closed.

Order of Apr. 30, 1963, revoking the broker-dealer registration of Ross Securities, Inc. and finding
petitioner cause of such revocation. Pending.
Order of Sept. 18, 1962, revoking the broker-dealer registration of B. Fennekohl & Co. and Fennekohl &.
Co., Inc. and finding petitioner cause of such revocation. Petition for stay pending appeal granted
Jan. 15, 1963. Pending.
Petition to review Commission order Oct. 29, 1962, revoking the broker-dealer registration of Reilly,
Hoffman & Co., Inc. and naming petitioner as cause of such revocation. Pending.
Petition for review of Commission order dated July 9, 1962, revoking broker-dealer registration and ex-
pelling from membership in NASD and holding petitioner as cause thereof. Pending.
Orderof Feb. 6, 1961, revoking the broker-dealer registration of Mac Robbins & Co., Inc. and finding Kahn
among others a cause of such revocation. Petitioner's brief and appendix filed. Opinion of CA-2 re-
manding decision to the Commission. Closed.

Petition for review of order of July 5, 1962, dismissing without hearing petitioner's application under Sec.
2(a) (9) of Investment Company Act of 1940; and order of Aug. 2, 1962, summarily denying request for a
hearing on said application. Order entered Oct. 8, 1962, dismissing petition for review. Closed.
Petition for review of Commission order dated July 9, 1962, revoking broker-dealer registration and ex-
pelling from membership in NASD and holding petitioner as cause thereof. Pending.
Petition for a declaratory judgment by the court and for review of administrative agency action, filed.
Order dismissing petition Feb. 27, 1963. Petition for writ of certiorari filed Apr. 18, 1963; denied June 3,

Petition to review order of Dec. 27, 1962, dismissing an application In the "Matter of Investors Mutual,
Inc."
Pending.
Petition to review orders of the Commission of Mar. 8, and Mar. 31, 1961, instituting proceedings to deter-
mine whether to deny broker-dealer registration and postponing the effective date of registration until a
final determination on the question of denial. Response of the SEC to petitioner's motion to stay SEC
orders filed June 1, 1961. Memorandum of petitioner in support of motion for stay filed June 3, 1961,
and denied. Pending.
Petition for review of the order dated Jan. 22, 1963, denying certain exemptions re requirements of Sec.
6(c) of 1940 Act, requesting that said order be vacated and set aside and annulled, filed. Pending.
Petition for review of order dated June 7, 1962, denying motion for rehearing on order issued Jan. 17, 1962,
revoking the broker-dealer registration of Philip Newman Associates and naming petitioner as cause
thereof. Order of dismissal entered Dec. 3, 1962. Closed.

Petition for review of Commission order of Dec. 28, 1962, revoking the broker-dealer registration of Banner
Securities and naming petitioner as cause of such revocation. Application for stay pending appeal
denied by CA DC. Pending.

Petition filed by Claude V. Warren for review of a Commission order suspending Sutro Bros. & Co., from the NASD for 15 days. Pending.

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TABLE 22.-Miscellaneous actions involving the Commission or employees of the Commission during the fiscal year ended June 30, 1963

Plaintiff

Court

Status of case

Initiating papers filed

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al.

May 24, 1963

May 7, 1963

Kukatush Mining Corp., et [District of Columbia.. Aug. 24, 1961
CA DC.
Oct. 26, 1961

Summons and complaint filed seeking a temporary restraining order, preliminary and final judgment for
purposes of criminal discovery and obtaining evidence and information for the prosecution of a pending
criminal indictment against plaintiffs. Order entered Oct. 22, 1962, dismissing the action. Closed.
Complaint filed seeking a preliminary and permanent injunction from further investigating or examining
under subpoena the books and records of the plaintiff. Motion filed by SEC to dismiss. Order en-
tered granting the dismissal Aug. 31, 1962. Closed.
Complaint filed June 13, 1962, seeking to enjoin the Commission from continuing administrative proceed-
ings entitled, In the Matter of R. A. Holman & Co., Inc., Pearson Corporation. Order entered July 6,
1962, granting plaintiff's motion for preliminary injunction. Notice of appeal filed July 10, 1962. Dis-
trict Court order reversed by Court of Appeals June 13, 1963. Pending.
Summons and complaint filed seeking an order enjoining the defendants from circulating harmful untruths
and for damages in total amount of $520,000. Motions to dismiss or in the alternative for summary
judgment filed. Pending.
Summons and complaint filed by John V. Holmes seeking an order of injunction against interference with
plaintiffs' business and contracts, and disclosure of certain alleged confidential lay-outs, plans and de-
signs. Plaintiffs seek damages of $22,750,000 against the United States. Pending.
Complaint for a mandatory injunction seeking an order requiring the defendants to declare effective post-
effective amendments to the registration statement of plaintiff, Imperial Fund Inc., under the 1933 Act.
Pending. OU

Complaint filed Aug. 24, 1961, for a declaratory judgment restraining Commission from continuing to in-
clude the name Kutatush Mining Company in the Canadian Restricted List issued by the Commission.
Motion to dismiss complaint filed Sept. 12, 1961. Opinion and order granting the Commission's motion
Oct. 19, 1961. Notice of appeal filed from the district court's order. Various briefs filed and case argued.
Opinion rendered Oct. 11, 1962, upholding Commission's right to publish its Canadian restricted list.
Closed.

Levinson, Herman D

Philadelphia Commodity Ex- Eastern District of June 14, 1963
change.

Sutro Brothers & Co.

U.S. Court of Claims.. July 30, 1954| Petition for judgment alleging improper separation in reduction in force and seeking recovery of lost pay
filed July 30, 1954. Government's first amended answer filed Jan. 12, 1961. Defendant's brief and ex-
ceptions filed Jan. 10, 1962. Opinion rendered Nov. 7, 1962, in favor of the plaintiff. Closed.
Summons and complaint filed to enjoin the Commission from hindering and obstructing the plaintiff
from conducting a so-called "commodity exchange" dealing in securities futures. Order entered with-
drawing the complaint. Closed.
Complaint filed to enjoin the Commission from continuing an investigation into violations of the Securi-
ties Exchange Act during the pendency of broker-dealer revocation proceedings based upon evidence
previously developed in the investigation. Plaintiff's motion for preliminary injunction denied Nov.
15, 1961. Closed."

Pennsylvania.

Southern District of Nov. 2, 1961
New York.

Amos Treat & Co., Inc., et al. (District of Columbia..

CA DC.

Apr. 25, 1962
Apr. 30, 1962

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Summons and complaint filed seeking a permanent injunction from further continuing and prosecuting
the revocation proceedings now pending before the Commission. Order entered Apr. 30, 1962, denying
plaintiff's motion for preliminary injunction and appeal filed Apr. 30, 1962. Opinion reversing order
of the District Court May 10, 1962. Petition for rehearing filed May 25, 1962. Petition denied June 14,
1962. Order entered Aug. 8, 1962, terminating proceedings without prejudice. Closed.
July 19, 1962 Complaint filed seeking to enjoin administrative hearing ordered Feb. 19, 1962, naming the plaintiff as a
respondent on the basis of possible violations of Securities Act of 1933 and Securities Exchange Act of
1934. Temporary restraining order denied. Closed.

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June 14, 1962

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