Imágenes de páginas
PDF
EPUB
[graphic]

New Orleans Public Service

Inc., et al., In re.

Oct. 23, 1961

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.
1i(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.

[graphic]

Table 20.—Contempt proceedings pending during the fiscal year ended June 30, 1963

CRIMINAL CONTEMPT PROCEEDINGS

[graphic]

TABLE 21.-Petitions for review of orders of Commission pending in courts of appeals during the fiscal year ended June 30, 1963 Petitioner U.S. Court of Appeals Initiating

Commission action appealed from and status of case

papers filed Aurell, Walter A.

2d Circuit

May 21, 1962 Petition to review order Mar. 28, 1962, affirming the disciplinary action taken against petitioner by NASD,

Inc. Pending.
Barnett, Jr., Maurice. 8th Circuit

Oct. 13, 1962 Order of Aug. 15, 1962, revoking the broker-dealer registration of Investment Service Company and

finding petitioner as cause of such revocation. Pending, Berko, Irwin..

2d Circuit..

Apr. 5, 1961 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 Do.

..do.

Sept. 6, 1962 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. Brown, Barton & Engel... 3d Circuit..

June 20, 1962 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.
Drayer, Sidney.

2d Circuit

June 26, 1963 Order of Apr. 30, 1963, revoking the broker-dealer registration of Ross Securities, Inc. and finding

petitioner cause of such revocation. Pending. Fligel, Marshall A.

..do...

Nov. 15, 1962 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.
Gordon, S. Paul...

-do....

Dec. 10, 1962 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.
Hersh, Theodore

9th Circuit

Aug. 30, 1962 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. Kahn, Arnold Leonard. 2d Circuit

Mar. 24, 1961 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. Leighton, William

Aug. 31, 1962 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. Lile, Trennis K.

9th Circuit.

Sept. 10, 1962 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. Major Oil Development Co.. 10th Circuit.

Jan. 2, 1963 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,

1963. Closed
Phillips, Randolph.

2d Circuit.

Feb. 25, 1963 Petition to review order of Dec. 27, 1962, dismissing an application In the "Matter of Investors Mutual,

Inc." Pending.
Powell, I. Vincent

..do.

May 3, 1961 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.
Prudential Insurance Com- | 3d Circuit

Mar. 15, 1963 Petition for review of the order dated Jan. 22, 1963, denying certain exemptions re requirements of Sec.
pany of America, The.

6(c) of 1940 Act, requesting that said order be vacated and set aside and annulled, filed. Pending. Reiter, Allen.

2d Circuit

Aug. 8, 1962 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 Rotter, Bernard.

OA DO.

Feb. 26, 1963 Petition for review of Commission order of Dec. 28, 1962, revoking the broker-dealer registration cf Banner

Securities and naming petitioner as cause of such revocation. Application for stay pending appeal Warren, Claude V

denied by CADO. Pending. June 10, 1963 Petition filed by Claude V. Warren for review of a Commission order suspending Sutro Bros. & Co., from

the NASD for 15 days. Pending.

[graphic]

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

[blocks in formation]

Carroll, Howard P.

Colorado

Sept. 20, 1962 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.
Deco Aluminum, Inc.

Eastern District of Aug. 22, 1962 Complaint filed seeking a preliminary and permanent injunction from further investigating or examining
Pennsylvania.

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.
Holman & Co., Inc., R. A. District of Columbia..

Complaint filed June 13, 1962, seeking to enjoin the Commission from continuing administrative proceed-
CA DC

June 13, 1962
.

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. Holmes, John V. & Hydra- Western District of Apr. 2, 1963 Summons and complaint filed seeking an order enjoining the defendants from circulating harmful untruths motive Manufacturing North Carolina.

and for damages in total amount of $520,000. Motions to dismiss or in the alternative for summary Corp. v. S.E.C.

judgment filed. Pending. Holmes, Jobn V. et al., ...do..

May 24, 1963 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. Imperial Fund, Inc.

Minnesota

May 7, 1963 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. Kukatush Mining Corp., et | District of Columbia.- Aug. 24, 1961 Complaint filed Aug. 24, 1961, for a declaratory judgment restraining Commission from continuing to inal..

clude the name Kutatush Mining Company in the Canadian Restricted List issued by the Commission. CA DC.

Oct. 26, 1961 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

[graphic]

Levinson, Herman D 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.
Philadelphia Commodity Er. Eastern District of June 14, 1963 Summons and complaint filed to enjoin the Commission from hindering and obstructing the plaintiff
change.
Pennsylvania.

from conducting a so-called "commodity exchange" dealing in securities futures. Order entered with

drawing the complaint. Closed.
Sutro Brothers & Co.

Southern District of Nov. 2, 1961 Complaint filed to enjoin the Commission from continuing an investigation into violations of the Securi-
New York.

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.
Amos Treat & Co., Inc., et al./District of Columbia.. Apr. 25, 1962 Summons and complaint filed seeking a permanent injunction from further continuing and prosecuting

ICA DC.
Apr. 30, 1962 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 reheațing filed May 25, 1962. Petition denied June 14,

1962. Order entered Aug. 8, 1962, terminating proceedings without prejudice. Closed.
Warren, Claude V.

do.

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. Wechsler, Nathan.

do

June 14, 1962 Complaint filed for an order permanently enjoining defendants from holding a private hearing re plaintiff's

fitness to practice before the Commission. Order entered denying motion for temporary restraining
order June 14, 1962. Motion for preliminary injunction withdrawn by stipulation of the parties. Order
entered July 9, 1962, withdrawing plaintiff's motion for preliminary injunction. Action dismissed

Oct. 15, 1962. Closed
Wolf Corp., The
(District of Columbia..

Complaint filed seeking a final judgment permanently enjoining the Commission from further continuing
CA DC .

Oct. 20, 1962 and prosecuting the stop order proceedings now pending. Order entered Oct. 24, 1962, denying motion (USSC.

for preliminary injunction. Notice of appeal from said order filed Oct. 24, 1962. Decision rendered by CA DC affirming the district court's order. Pending.

« AnteriorContinuar »