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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 Petition

Exchange approved

Commission

notice of appearance

filed Equitable Enterprises, Inc.

M.D. Fla... June 19, 1962 July 5, 1962 July 24, 1962 Equitable Plan Co..

S.D. Calif.... Mar. 18, 1958 May 29, 1958 Mar. 27, 1958 Fehr Brewing Co., Frank.

W.D. Ky. Oct. 9, 1962 Oct. 10, 1962 Nov. 26, 1962 Fleetwood Motel Corp.

D.N.J.

Sept. 26, 1960 Sept. 27, 1960 Nov. 3, 1960 Flora Sun Corp (6 subsidiaries)

S.D. Fla. Feb. 27, 1962 Apr. 25, 1962 June 5, 1962 Florida Southern Corp..

.do.. May 17, 1962 May 17, 1962 July 12, 1962 Food Town, Inc.)

D. Md.. July 29, 1959 July 29, 1959 Aug. 13, 1959 GFE Industries, Inc.

S.D. Iowa. Sept. 19, 1963 Sept. 20, 1963 Dec. 14, 1963 General Economics Corp.:.

S.D.N.Y.. July 17, 1963 July 17, 1963 Aug. 8, 1963 General Stores Corp..

S.D.N.Y. Apr. 30, 1956 May 1, 1956 May 23, 1956 Goebel Brewing Co.i.

E.D. Mich.. Jan. 24, 1964 Jan. 24, 1964 Feb. 12, 1964 Great American Development Co.. W.D. Tex. June 1, 1961 June 3, 1961 July 28, 1961 Guaranty Trust Deed Corp.

D. Utah. Jan. 17, 1963 Jan. 18, 1963 Mar. 4, 1963 Hotel St. George Corp.?..

E.D.N.Y Jan. 15, 1964 Dismissed Jan, 17, 1964 Hudson & Manhattan Railroad Co.3. S.D.N.Y Aug. 11, 1954 Dec. 14, 1954

Jan.

7, 1955 Hughes Homes, Inc. (4 subsidiaries).

D. Mont. Sept. 8, 1961 Sept. 15, 1961 Oct. 19, 1961 Human Relations Research Foundation S.D. Calif. Jan. 31, 1964 Jan. 31, 1964 | Feb. 14, 1964

(4 subsidiaries) 1 Hydrocarbon Chemicals, Inc. (6 sub- D.N.J.... Mar. 17, 1964 Mar. 18, 1964 Mar. 18, 1964

sidiaries) Inland Gas Corp...

E.D. Ky. Oct. 14, 1935 Nov. 1, 1935 Mar. 28, 1939 F.L. Jacobs Co.

E.D. Mich... Mar. 17, 1959 Mar. 18, 1959 Mar. 20, 1959 Kentucky Fuel Gas Corp.3..

E.D. Ky

Oct. 25, 1935 Nov. 1, 1935 Mar. 28, 1939 Kentucky Jockey Club, Inc., The

W.D. Ky. Dec. 9, 1959 Dec. 9, 1959 Jan. 18, 1960 Kirchofer & Arnold, Inc...

E.D.N.C. Nov. 5, 1959 Nov. 5, 1959 Nov. 9, 1959 Kish Industries, Inc.1.

W.D. Mich. Apr. 23, 1964 | May 13, 1964 June 9, 1964 Leeds Homes, Inc. (52 subsidiaries)

E.D, Tenn.. June 15, 1962 June 16, 1962 July 26, 1962 Liberty Baking Corp...

S.D. NY

Apr. 22, 1957 Apr. 22, 1957 May 2, 1957 Magnolia Park, Inc.

E.D. La Oct. 16, 1957 Feb. 26, 1958 Oct. 24, 1957 Maryvale Community Hospital, Inc.... D. Ariz. Aug. 1, 1963 May 11, 1964 Sept. 11, 1963 Mason Mortgage & Investment Corp. (3 subsidiaries).

D.D.C.. Oct. 31, 1960 Oct. 31, 1960 Nov. 9, 1960 Morehead City Shipbuilding Corp.

E.D.N.C. Nov. 5, 1959 Nov. 5, 1959 Nov. 9, 1959 H. H. Mundy Corp. (1 subsidiary).

N.D. Okla.. Apr. 17, 1961 Apr. 17, 1961 May 22, 1961 Muskegon Motor Specialties Co.

E.D. Mich.. May 11, 1961 May 11, 1961 May 12, 1961 Nevada Industrial Guaranty Co. (1 subsidiary)

D. Nev. May 7, 1963 May 7, 1963 July 2, 1963 Joe Newcomer Finance Co.

D. Colo... Apr. 26, 1963 Apr. 26, 1963 | May 2, 1963 New-Kanawha Industrial Corp. (1 subsidiary).

S.D. W. Va.. Nov. 2, 1962 Nov. 2, 1962 Dec. 3, 1962 Parker Petroleum Co., Inc.3.

W.D. Okla. May 6, 1958 May 6, 1958 June 9, 1958 Pickman Trust Deed Corp.

N.D. Calif. June 13, 1960 June 13, 1960 June 13, 1960 Precision Transformer Corp.

N.D. IN Aug. 13, 1962 Aug. 13, 1962 Aug. 13, 1962 Prudential Diversified Services (4 subsidiaries)...

D. Mont. Mar. 26, 1963 Mar. 26, 1963 May 3, 1963 Rimak Electronics, Inc. (1 subsidiary) S.D. Calif. Dec. 9, 1963 Dec. 9, 1963 Feb. 3, 1964 Scranton Corp., The (3 subsidiaries) M.D. Pa. Apr. 3, 1959 Apr. 3, 1959 Apr. 15, 1959 Shawano Development Corp.

D. Wyo. Apr. 3, 1959 Apr. 13, 1959 May 20, 1959 Sire Plan, Inc., The (13 subsidiaries). S.D.N.Y. Feb. 16, 1963 | Feb. 16, 1963 | Feb. 18, 1963 Sire Plan Management Corp., The (4 subsidiaries, 1 affiliate).

-do.

Mar. 4, 1963 Mar. 4, 1963 Apr. 30, 1963 Southern Enterprise Corp. (1 subsidiary). - S.D. Tex.. Oct. 31, 1958 Nov. 3, 1958 June 18, 1960 Southwest Factories, Inc.

W.D, Okla.. July 27, 1962 July 27, 1962 Aug. 23, 1962 Southwest Foundation Inc..

D. N. Mex.. May 19, 1960 June 22, 1960 Oct. 31, 1961 St. John's View Sites...

S.D. Calit July 6, 1962 July 6, 1962 Aug. 20, 1962 Stardust, Inc...

D. Nev. July 19, 1956 Sept. 10, 1956 Sept. 7, 1956 Swan-Finch Oil Corp. (1 subsidiary). S.D.N.Y Jan. 2, 1958

Jan.

2, 1958 Jan. 27, 1958 Taylor International Corp. (1 subsidiary). S.D. Fla Dec. 28, 1962

2, 1963 Feb. 27, 1963 Tele-Tronics Co.3 The.

E.D. Pa. July 26, 1962 July 27, 1962 Sept. 13, 1962 Tenax, Inc. (1 subsidiary)

S.D.N.Y. Nov. 30, 1962 Nov. 30, 1962 Nov. 30, 1962 Third Avenue Transit Corp. (5 subsidiaries) 3.

do.

Oct. 25, 1948 June 21, 1949 Jan. 3, 1949 TMT Trailer Ferry Inc. (4 subsidiaries). S.D. Fla. June 27, 1957 Nov. 15, 1957 | Nov. 25, 1957 Townsend Growth Fund, Inc.

S.D.N.Y. May 10, 1961 | May 10, 1961 May 10, 1961 Trans-United Industries, Inc.

D. Conn. Apr. 8, 1963 Apr. 29, 1963 May 27, 1963 Tri-State Petroleum Inc..

8.D. Calif. June 17, 1963 June 24, 1963 Sept. 27, 1963 Trustors' Corp.

N.D. Calif. Sept. 14, 1961 Oct. 9, 1961 Oct. 17, 1961 Twentieth Century Foods Corp

E.D, Ark Oct. 30, 1961 Nov. 9, 1961 Feb. 21, 1962 Vinco Corp.

E.D. Mich. Apr. 1, 1963 Apr, 8, 1963 Apr. 9, 1963 Walco Building Corp.

N.D. III.. July 31, 1961 Sept. 15, 1961 Sept. 15, 1961 Windermere Hotel Co..

.do.. Sept. 13, 1960 Oct. 12, 1960 Oct. 24, 1960 Yuba Consolidated Industries, Inc.. N.D. Calif. Mar. 21, 1962 Mar. 21, 1962 Mar. 23, 1962

Jan.

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

Types of cases

Total Total Cases Cases Cases

cases cases pending pending instituted instituted closed at end et end during up to end up to end of 1964 of 1963

1964 of 1964 of 1964 fiscal fiscal fiscal fiscal fiscal

year

year year year year

Total cases pending during

1964 fiscal year

Cases closed during

1964 fiscal year

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Actions to enjoin enforcement

of Securities Act, Securities Exchange Act and Public Utility Holding Company Act with the exception of subpoenas issued by the

Commission.
Actions to enjoin enforcement
of or compliance with sub-
poenas issued by the Com-
mission..
Petitions for review of Com-
mission's orders by Courts of
Appeals under the various
Acts administered by the

Commission.
Miscellaneous actions against

the Commission or officers
of the Commission and cases
in which the Commission
participated as intervenor or

amicus curiae. Appeal cases under Ch. X in which the Commission participated....

Total..

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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.O.) 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

Name of principal

defendant

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.

Eastern District

of Texas.

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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

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Bernstein, Albert

(J. A. Winston &
Co.).

Do.
Berry, Robert K...
Birrell, Lowell M.

(Doeskin Products,
Inc.).

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Do.
Secs, 17(a) and 2, 1933 Act; Do.

Sec. 1341 Title 18, U.S.C.
Secs. 17(a) and 24, 1933 Act; Four individual defendants and two corporate defendants pleaded guilty

Secs. 10(b), 32(a) and Rule to various counts of the indictment; another defendant pleaded guilty
106-5, 1934 Act; Secs. 2, to an information charging violations of Sec. 10(b) of the 1934 Act. Appeal
1341 and 2314, Title 18, filed by one defendant Sept. 12, 1963. CA-2 affirmed judgment of
U.S.C.

district court.
Sec. 371, Title 18, U.S.C..--. One defendant dismissed. Pending as to remaining three defendants.

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Oct. 5, 1961

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Northern District Aug. 31, 1960 Secs. 5(a)(2), 17(a) (1), 1933 Closed. of Georgia.

Act; Sec. 1341, Title 18,

U.S.C.
(Mar. 6, 1962 Secs. 5(a) (2), 17(a), 1933 Act; | All defendants apprehended. Five defendants pleaded not guilty. Pend.
---do.
(Superseding Secs. 371 and 1341, Title

ing.
indictment) 18, U.S.C.
Southern District Jan. 27, 1964 Secs. 2314 and 2, and Sec. Pending.
of New York.

371, Title 18, U.S.C.
Western District Mar. 7, 1963 Sec. 17(a), 1933 Act; Sec. Defendant sentenced to 18 months in prison on count 5 and placed on
of Washington.

1341, Title 18, U.S.C. and

probation for a period of 3 years on count 6 charging violations of Sec.
Sec. 1001, Title 18, U.S.C.

1001.
Western District July 17, 1947 Secs. 5(a)(1) and (2) and 17 One defendant deceased. Pending as to remaining four defendants.
of New York.

(a)(1), 1933 Act; Secs. 371

and 1341, Title 18, U.S.C. District of Mar. 11, 1964 | Sec. 17(a), 1933 Act; Sec. 371, Pending. Columbia.

Title 18, U.S.C.

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Mar. 18, 1964

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Do.

2 Nevada.

July 11, 1963 Secs. 5(a)(2) and 17(a), 1933 | On plea of nolo contendere one defendant was sentenced for 1 year and 1 day.
Act.

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

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