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TABLE 12.-Reorganization proceedings under Chapter X of the Bankruptcy Act in which the Commission participated during the fiscal year 1964Continued

Securities

and Debtor District Court Petition filed

Exchange Petition

Commission approved

notice of appearance

filed

M.D. Fla..
S.D. Calif...
W.D. Ky
D.N.J.
S.D. Fla..

.do
D. Md.
S.D. Iowa.
S.D.N. Y
S.D.N. Y
E.D. Mich..
W.D. Tex.
D, Utah
E.D.N.Y
S.D.N.Y.
D. Mont
S.D, Calil

June 19, 1962 July 5, 1962 July 24, 1962 Mar. 18, 1958 May 29, 1958 Mar. 27, 1958 Oct. 9, 1962 Oct. 10, 1962 Nov. 26, 1962 Sept. 26, 1960 Sept. 27, 1960 Nov. 3, 1960 Feb. 27, 1962 Apr. 25, 1962 June 5, 1962 May 17, 1962 May 17, 1962 July 12, 1962 July 29, 1959 July 29, 1959 Aug. 13, 1959 Sept. 19, 1963 Sept. 20, 1963 Dec. 14, 1963 July 17, 1963 | July 17, 1963 Aug. 8. 1963 A pr. 30, 1956 May 1, 1956 May 23, 1956 Jan. 24, 1964 Jan. 24, 1964 Feb. 12, 1964 June 1, 1961 June 3, 1961 July 28, 1961 Jan. 17, 1963 Jan. 18, 1963 Mar. 4, 1963 Jan. 15, 1964 Dismissed. Jan, 17, 1964 Aug. 11, 1954 Dec. 14, 1954 Jan. 7, 1955 Sept. 8, 1961 Sept. 15, 1961 Oct. 19, 1961 Jan. 31, 1964 Jan. 31, 1964 Feb. 14, 1964

Equitable Enterprises, Inc..
Equitable Plan Co..
Fehr Brewing Co., Frank.
Fleetwood Motel Corp.
Flora Sun Corp (6 subsidiaries)
Florida Southern Corp. S.
Food Town, Inc..
GFE Industries, Inc.
General Economics Corp.!.
General Stores Corp..
Goebel Brewing Co.'.
Great American Development Co.
Guaranty Trust Deed Corp...
Hotel St. George Corp.?....
Hudson & Manhattan Railroad Co.3.
Hughes Homes, Inc. (4 subsidiaries).
Human Relations Research Foundation

(4 subsidiaries)! Hydrocarbon Chemicals, Inc. (6 sub

sidiaries)! Inland Gas Corp. .. F.L. Jacobs Co.. Kentucky Fuel Gas Corp.3 Kentucky Jockey Club, Inc., The. Kirchofer & Arnold, Inc. Kish Industries, Inc.i. Leeds Homes, Inc. (52 subsidiaries). Liberty Baking Corp.. Magnolia Park, Inc. Maryvale Community Hospital, Inc.'. Mason Mortgage & Investinent Corp. (3

subsidiaries) Morehead City Shipbuilding Corp. H. H. Mundy Corp. (1 subsidiary). Muskegon Motor Specialties Co. Nevada Industrial Guaranty Co. (1 sub

sidiary);}. Joe Newcomer Finance Co. New-Kanawha Industrial Corp. (1 sub

sidiary). Parker Petroleum Co., Inc.3. Pickman Trust Deed Corp... Precision Transformer Corp.. Prudential Diversified Services (4 sub

sidiaries)... Rimak Electronics, Inc. (1 subsidiary) Scranton Corp., The (3 subsidiaries) Shawano Development Corp... Sire Plan, Inc., The (13 subsidiaries). Sire Plan Management Corp., The (4 sub

sidiaries, 1 affiliate). Southern Enterprise Corp. (1 subsidiary). Southwest Factories, Inc.2. Southwest Foundation Inc.. St. John's View Sites.. Stardust, Inc. Swan-Finch Oil Corp. (1 subsidiary). Taylor International Corp. (1 subsidiary). Tele-Tronics Co.3 The. Tenax, Inc. (1 subsidiary) Third Avenue Transit Corp. (5 subsidi

aries) 3 TMT Trailer Ferry Inc. (4 subsidiaries). Townsend Growth Fund, Inc. Trans-United Industries, Inc. Tri-State Petroleum Inc.. Trustors' Corp. Twentieth Century Foods Corp. Vinco Corp Walco Building Corp. Windermere Hotel Co.3. Yuba Consolidated Industries, Inc.

D.N.J... Mar. 17, 1964 Mar. 18, 1964 Mar. 18, 1964 E.D. Ky.... Oct. 14, 1935 Nov. 1, 1935 Mar. 28, 1939 E.D. Mich. Mar. 17, 1959 Mar. 18, 1959 Mar. 20, 1959 E.D. Ky

Oct. 25, 1935 Nov. 1, 1935 Mar. 28, 1939 W.D, Ky. Dec. 9, 1959 Dec. 9, 1959 Jan. 18, 1960 E.D. N.C. Nov. 5, 1959 Nov. 5, 1959 Nov. 9, 1959 W.D. Mich. Apr. 23, 1964 May 13, 1964 June 9, 1964 E.D. Tenn.. June 15, 1962 June 16, 1962 July 26, 1962 $.D. N.Y Apr. 22, 1957 Apr. 22, 1957 May 2, 1957 E.D. La

Oct. 16, 1957 Feb. 26, 1958 Oct. 24, 1957 D. Ariz. Aug. 1, 1963 May 11, 1964 Sept. 11, 1963 D.D.C.

Oct. 31, 1960 Oct. 31, 1960 Nov. 9, 1960 E.D.N.C. Nov. 5, 1959 Nov. 5, 1959 Nov. 9, 1959 N.D. Okla... Apr. 17, 1961 Apr. 17, 1961 May 22, 1961 E.D. Mich... May 11, 1961 May 11, 1961 | May 12, 1961 D. Nev

May 7, 1963 May 7, 1963 July 2, 1963 D. Colo. Apr. 26, 1963 Apr. 26, 1963 May 2, 1963 S.D. W. Va... Nov. 2, 1962 Nov. 2, 1962 Dec. 3, 1962 WD. Okla. May 6, 1958 May 6, 1958 June 9, 1958 N.D. Calif.. June 13, 1960 June 13, 1960 June 13, 1960 N.D. IN..

Aug. 13, 1962 Aug. 13, 1962 Aug. 13, 1962 D. Mont. Mar. 26, 1963 Mar. 26, 1963 May 3, 1963 S.D. Calif.. Dec. 9, 1963 Dec. 9, 1963 Feb.

3, 1964 M.D. Pa... Apr. 3, 1959 Apr. 3, 1959 Apr. 15, 1959 D. Wyo.. Apr 3, 1959 Apr. 13, 1959 May 20, 1959 S.D.N.Y Feb. 16, 1963 Feb. 16, 1963 Feb. 18, 1963

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1 Commission filed notice of appearance in fiscal year 1964. * Reorganization proceeding closed during fiscal year 1964.

• Plan has been substantially consummated but no final decree has been entered because of pending matters.

TABLE 13.-Summary of criminal cases developed by the Commission which were

still pending at June 30, 1964

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SUMMARY Total cases pending'.

153 Total defendants 1.

759 Total defendants as to whom cases are pending ...

640 1 As of the close of the fiscal year, indictments had not yet been returned as to 214 proposed defendants in 51 cases referred to the Department of Justice. These are reflected only in the recapitulation of totals at the bottom of the table.

3 This figure also includes Alve defendants on appeal who have been reported as convictions in column 3.

TABLE 14.-Summary of cases instituted in the courts by the Commission under

the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Investment Company Act of 1940, and the Investment Advisers Act of 1940

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TABLE 15.-Summary of cases instituted against the Commission, cases in which

the Commission participated as intervenor or amicus curiae, and reorganization cases on appeal under Chapter X in which the Commission participated

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TABLE 16.--Indictments returned for violation of the acts administered by the Commission, the Mail Fraud Statute (Sec. 1341, formerly

Sec. 338, Title 18, U.S.C.) and other related Federal statutes (where the Commission took part in the investigation and development of the case) which were pending during the 1964 fiscal year—Continued

Number

of de-
fendants

U.S. District

Court

Indictment
returned

Charges

Status of case

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Sept. 4, 1962 Secs. 5(a)(2), 17(a), 1933 One defendant pleaded guilty to 7 counts and was sentenced to 3 years in

Act; Secs. 371 1341 Title prison; remaining defendant sentenced to 3 years and placed on probation 18, U.S.C.

on his guilty plea of 2 counts of the indictment. Nov. 5, 1963 Sec. 17(a), 1933 Act; Sec. Pending.

1341 Title 18, U.S.C. and

Sec. 371 Title 18, U.S.C.
A pr. 3, 1961 Secs. 5(a)(1) and 5(a) (2), Three defendants found guilty; sentencing deferred. One defendant

1933 Act; Sec. 371, Title 18, acquitted; one defendant dismissed and one defendant deceased. Pend-
U.S.C.

ing
May 16, 1960 Secs. 5(a)(2), 5(C) and 17(a), Appeal filed Feb. 21, 1961, from the conviction of six defendants. Opinion

1933 Act; Secs. 371 and rendered affirming convictions, May 24, 1963. Indictment dismissed as

1341, Title 18, U.S.C. to three corporate defendants. Pending as to remaining defendant.
Mar. 14, 1960 Secs. 5(a) (1) and (2), 1933 All defendants arraigned; pleaded not guilty and posted bonds. Pending

Act; Secs. 9(a)(2), 16(a)
and 32(a), 1934 Act; Secs.
2, 371 and 1621, Title 18,

U.S.C.
Nov. 9, 1960 Secs. 5(a)(2) and 17(a), 1933 On plea of guilty defendant was sentenced to 5 years confinement.

Act; Sec. 1341, Title 18,

U.S.C.
Dec. 5, 1962 Secs. 5(a), 17(a), 1933 Act; All defendants acquitted.

Secs. 371, 1341 Title 18,

U.S.C.
June 2, 1964 Sec. 17(a), 1933 Act; Sec. Pending.

1341 Title 18, U.S.C. and

Sec. 371 Title 18, U.S.C.
Aug. 27, 1962 Secs. 1505 and 1622 Title 18, Defendant found guilty and sentenced from 4 to 12 months and a day on
U.S.C.

violations of Secs. 1505 and 1622. Pending appeal.
Feb. 20, 1962 Secs. 5(a), 5(c), 17(a) and 24, Four defendants found guilty. Sentences imposed ranging from 6 months

1933 Act; Secs. 2, 1341 and to 1 year and 1 day. Appeal filed by four defendants from their convic-
2314, Title 18, U.S.C. tions. One defendant acquitted. CA-2 affirmed convictions. Petition

for writ of certiorari filed and denied.
June 3, 1963 Sec. 17(a), 1933 Act; Sec. Pending.

1341 Title 18, U.S.C. and

Sec. 371 Title 18, U.S.C.
Jan. 24, 1962 Sec. 17(a), 1933 Act; Secs. Both defendants filed notices of appeal from the judgment of their convic-

1341 and 2314, Title 18, tions entered Aug. 2, 1962. Convictions affirmed by CA-5. Petition U.S.C.

for writ of certiorari filed Apr. 15, 1964. Pending. Dec. 2, 1958 Sec. 17(a), 1933 Act; Secs. Opinion filed denying motions of three defendants for severance and grant

371, 1341 and 1343, Title 18, ing limited inspection and certain particulars. Pending. U.S.C.

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Name of principal

defendant

Aaberg, Henry 0.

(Titanol, Inc.).

Abbott, Roger D.

(Franklin Acceptance Corp.). Abrams, Joseph

(Automatic Washer

Co., Inc.).
Addison, John Milton.

Albert, Sydney L.

(Bellanca Corp.).

Albrecht, Harry

William.

Amigos Gas & Oil

Corp.
Barnett, Marion

Edmond
Batten, Franklin L.

(Batten and Co.,

Inc.).
Benjamin, Martin

(American Equities
Corp.).

Bennett, Sterling W

Bergman, Vernon

Evans (Solomon

Evans).
Berman, Charles E.

(Cornelis DeVroedt
Co.).

25

Southern District

of New York.

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TABLE 16.-Indictments returned for violation of the acts administered by the Commission, the Mail Fraud Statute (Sec. 1341, formerly

Sec. 338, Title 18, U.S.C.) and other related Federal statutes (where the Commission took part in the investigation and development of the case) which were pending during the 1964 fiscal year—Continued

July 11, 1963 Secs. 6(a)(2) and 17(a), 1933 On plea of nolo contendere one defendant was sentenced for 1 year and 1 day.

Act.
IIS

Sentence suspended and defendant placed on probation for 2 years.
Remaining defendant dismissed.

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