Secs. 5(a) (2), 17(a) 1933 Act; Sec. 17(a), 1933 Act; Secs. 371 Mar. 29, 1962 Secs. 5(a) (2) and 17(a), 1933 Feb. 26, 1962 Corp.). Cage, Ben Jack 6 (Bankers Bond Co., Northern District Apr. 22, 1960 of Texas. Southern District May 14, 1964 of New York. Corp.). Carroll, Howard P. 2 Southern District (H. Carroll & Co.). of California. Secs. 17(a), 17(a)(2), 1933 Secs. 17(a) and 24, 1933 Act; Secs. 9(a) (2) and 32(a), 1934 Act. Secs. 5(a) (2) and 17(a), 1933 Sec. 17(a), 1933 Act and Sec. Secs. 5(a)(1), 5(a)(2), 5(c) Rule 10b-5, 1934 Act. All defendants found guilty and sentences imposed ranging from 18 months $10,000 bond set for five defendants. One defendant deceased and one Both defendants found guilty on all counts of the indictment; corporate defendant fined a nominal fine of $50 since company is defunct; remaining defendant fined $2,500 and placed on probation for 1 year. Appeal filed by individual defendant. Convictions affirmed by CA-9. Pending. Defendant found guilty on 10 counts of an 11-count indictment chargin violations of Secs. 5(a) and 17(a) of 1933 Act; Sec. 15(a) of 1934 Act and mail fraud statutes. Remaining count dismissed. Defendant sentenced to 30 days confinement and fined $10,000.0 Fifteen defendants convicted; various sentences and fines ranging from $200 to $36,000 were imposed. One defendant was dismissed; three defendants were acquitted and five defendants appealed from their convictions. CA-5 affirmed judgment of district court. Pending as to four defendants. Closed. Columbus Rexall 23 Consolidated Mines Co. Vidalakis, Nick S. 1 Caylas, William J. 1 do. (Jan. 11, 1962 (Information). do. Do. Cromer, L. L. 1 [Jan. 12, 1962 (Informa Rule 10.6(3), 1934 Act. Do. tion). 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 Crowell, Alec M. 2 Eastern District of Louisiana Aug. 2, 1962 (Di Roma, Alexik & Co.). Dotson, Leighton G... 4 Sec. 17(a), 1933 Act; Sec. Secs. 5(a) (1), 5(c) and 17(a), July 21, 1961 Secs. 17(a) and 24, 1933 Act; Sec. 17(a), 1933 Act; Sec. Northern District Apr. 21, 1964 Secs. 5(a) (2) and 17(a), 1933 Defendant apprehended May 2, 1963. Pending. Both defendants pleaded guilty to 2 counts of the indictment for violations of 1933 Act and mail fraud statutes. Sentencing deferred. Pending. Pending. Do. All defendants arraigned July 17, 1963; pleaded not guilty and posted bond of $1,000. Pending. Pending. of Texas. 10(b) and Rule 10b-5, 1934 Act; Sec. 1341 Title 18, U.S.C. May 28, 1962 Secs. 2, 371 and 2314, Title 18, U.S.C. Aug. 23, 1962 Sec. 17(a), 1933 Act; Secs 371 and 1341 Title, 18 U.S.C. Nov. 19, 1962 do. (Superseding) Sept. 20, 1962 Secs. 5(a) (1), 5(a)(2), 17(a), 1933 Act; Sec. 1341 Title 18, U.S.C. Three defendants were given sentences ranging from 6 months to 2 years and fines of $2,500 and $10,000 imposed on said defendants. One defendant deceased. Pending as to the remaining three defendants. Closed. One defendant pleaded guilty to violating the anti-fraud provisions of 1933 Defendant found guilty on 7 counts of the indictment in violation of Sec. Mar. 8, 1961 Sec. 17(a) (1), 1933 Act; Secs. | Closed. 371 and 1341, Title 18, U.S.C. Fewell, George Hamilton (Permian Oper 2 Western District of Tennessee. Dec. 14, 1962 ating Co., Inc.). Apr. 25, 1963 One defendant found not guilty. Two defendants found guilty on 32 One defendant convicted and sentenced to 5 years in prison and fined Jan. 21, 1964 Secs. 17(a), 2 and 24, 1933 Pending. June 28, 1962 Feb. 28, 1963 Garfield, Samuel S. 33 do. July 14, 1961 Oct. 9, 1963 Secs. 5(a) (2) and 17(a), 1933 Sec. 17(a), 1933 Act. and Sec. 1341 Title 18, U.S.C. Secs. 5(a) (2), 17(a), 24 and June 14, 1961 Sec. 17(a), 1933 Act; Secs. Northern District | Sept. 19, 1961 One defendant pleaded guilty; sentencing deferred. Pending. Nineteen defendants found guilty on various counts of the indictment; one Do. One defendant entered plea of guilty. Pending as to remaining 14 defend ants. Ten defendants found guilty on all counts of the indictment; sentences One defendant acquitted May 23, 1962. One defendant on plea of guilty 757-903 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 Status of case Secs. 5(a) (1) and (2) and Secs. 17(a) and 24, 1933 Act; Mar. 12, 1964 Sec. 5(a) (1) and Sec. 24, Sec. 17(a), 1933 Act; Secs. 371 and 1341, Title 18, U.S.C. Judgments of guilty were entered as to 25 defendants, 1 defendant dismissed and 3 defendants deceased as noted in previous report. One defendant sentenced to 3 years, execution of sentence suspended after 5 months and placed on probation for 5 years. Court revoked probation of two defendants, and sentenced them to 1 year. Pending as to remaining 20 defendants. Pending as to one defendant. On plea of guilty one defendant sentenced to 1 year and 1 day and fined $15,000; placed on probation for 2 years after serving sentence. Pending as to one defendant. Do. One defendant arraigned and pleaded guilty to counts 11 and 12 of Sec One defendant acquitted; one'defendant received a 2-year prison sentence One defendant pleaded guilty. Imposition of sentence suspended and defendant placed on 5 years probation. One defendant sentenced to 2 years and remaining defendant sentenced to 3 years. Southern District of New York. Feb. 6, 1961 Mac Schwebel). Do. 2 ..do. do Gregory, Kenneth H. 28 New Hampshire.. Sept. 21, 1961 (Canam Invest Southern District of Florida. Aug. 3, 1962 Southern District of New York. Aug. 25, 1959 Chemical Corp.). Dec. 7, 1960 | Sec. 17(a), 1933 Act; Sec. Nov. 18, 1960 Apr. 15, 1964 Inc.). Johnston, Stuart 1 Southern District Brooks. of Florida. Kay & Co.. 4 Southern District Oct. 10, 1962 of Texas. 1001, Title 18, U.S.C. Sec. 17(a), 1933 Act and Sec. Secs. 1341, 1343 and 2314, Sec. 10(b) and Rule 10b-5, Sec. 17(a), 1933 Act; 1341 Dec. 7, 1959 Secs. 5(a) (1), 17(a) and 24, Sec. 1621, Title 18, U.S.C... Mar. 19, 1963 Sec. 17(a), 1933 Act; Sec. 10(b), 1934 Act and Sec. Defendant found guilty and sentenced to serve a maximum of 3 years im. prisonment. Appeal filed Apr. 27. 1964. Pending. Two defendants pleaded guilty; sentencing deferred. Six other defendants pleaded not guilty and were admitted to bail in amounts ranging from $500 to $15,000. One defendant sentenced to 18 months imprisonment. Appeal pending. Pending. One defendant pleaded guilty and was sentenced to 5 years imprisonment, Defendant pleaded guilty Dec. 21, 1962, to 3 counts of a 6-count indictment Defendant pleaded guilty and received suspended 7-year prison sentence Defendant pleaded guilty to 4 counts of the indictment and received sen- One defendant pleaded guilty to counts 1 through 10 of the indictment and Five defendants given imprisonment ranging from 6 months to 3 years; Two defendants sentenced to 31⁄2 years and fined $5,000. Sentence and all Jan. 9, 1963 Secs. 5(a)(2), 17(a), 1933 Indictment dismissed as to all defendants Jan. 29, 1964. Southern District Sept. 14, 1961 Secs. 5(a) (1) and 24, 1933 of New York. Ohio. Act; Secs. 371 and 1341, Apr. 19, 1960 Secs. 5(a) (1) and (2), 5(c) Two defendants pleaded guilty to Count 1 of Sec. 371, Title 18, U.S.C. Sentencing imposed on 13 defendants ranging from 18 months to 2 years |