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

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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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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.

2 This figure also includes five 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

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Benjamin, Martin

5

(American Equities Corp.).

Southern District of New York.

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Dec. 2, 1958

Co.).

Charges

Secs. 5(a)(2), 17(a), 1933
Act; Secs. 371 1341 Title
18, U.S.C.

Sec. 17(a), 1933 Act; Sec.
1341 Title 18, U.S.C. and
Sec. 371 Title 18, U.S.C.
Secs. 5(a) (1) and 5(a)(2),
1933 Act; Sec. 371, Title 18,
U.S.C.

Secs. 5(a) (2), 5(c) and 17(a),
1933 Act; Secs. 371 and
1341, Title 18, U.S.C.
Secs. 5(a) (1) and (2), 1933
Act; Secs. 9(a)(2), 16(a)
and 32(a), 1934 Act: Secs.
2, 371 and 1621, Title 18,
U.S.C.

Status of case

One defendant pleaded guilty to 7 counts and was sentenced to 3 years in prison; remaining defendant sentenced to 3 years and placed on probation on his guilty plea of 2 counts of the indictment. Pending.

Three defendants found guilty; sentencing deferred. One defendant acquitted; one defendant dismissed and one defendant deceased. Pending. Appeal filed Feb. 21, 1961, from the conviction of six defendants. Opinion rendered affirming convictions, May 24, 1963. Indictment dismissed as to three corporate defendants. Pending as to remaining defendant. All defendants arraigned; pleaded not guilty and posted bonds. Pending

Secs. 5(a) (2) and 17(a), 1933 On plea of guilty defendant was sentenced to 5 years confinement.
Act; Sec. 1341, Title 18,

5, 1962 Secs. 5(a), 17(a), 1933 Act; All defendants acquitted.

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,

Feb. 20, 1962 Secs. 5(a), 5(c), 17(a) and 24,
1933 Act; Secs. 2, 1341 and
2314, Title 18, U.S.C.

June 3, 1963 Sec. 17(a), 1933 Act; Sec.
1341 Title 18, U.S.C. and
Sec. 371 Title 18, U.S.C.
Jan. 24, 1962 Sec. 17(a), 1933 Act; Secs.
1341 and 2314, Title 18,
U.S.C.

Sec. 17(a), 1933 Act; Secs.
371, 1341 and 1343, Title 18,
U.S.C.

Defendant found guilty and sentenced from 4 to 12 months and a day on
violations of Secs. 1505 and 1622. Pending appeal.

Four defendants found guilty. Sentences imposed ranging from 6 months
to 1 year and 1 day. Appeal filed by four defendants from their convic-
tions. One defendant acquitted. CA-2 affirmed convictions. Petition
for writ of certiorari filed and denied.
Pending.

Both defendants filed notices of appeal from the judgment of their convictions entered Aug. 2, 1962. Convictions affirmed by CA-5. Petition for writ of certiorari filed Apr. 15, 1964. Pending. Opinion filed denying motions of three defendants for severance and granting limited inspection and certain particulars. Pending.

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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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Four individual defendants and two corporate defendants pleaded guilty
to various counts of the indictment; another defendant pleaded guilty
to an information charging violations of Sec. 10(b) of the 1934 Act. Appeal
filed by one defendant Sept. 12, 1963. CA-2 affirmed judgment of
district court.

One defendant dismissed. Pending as to remaining three defendants.

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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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