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

Name of principal
defendant

Number
of de-
fendants

U.S. District
Court

Indictment
returned

Charges

Status of case

Dec. 5, 1962 Sec. 5(a) (1) and Sec. 17(a), Defendant found guilty on 8 counts of a 10-count in lictment and sentenced

Little, James E.

1

Eastern District of Missouri.

1933 Act.

District of Colum- May 21, 1963 Sec. 17(a), 1933 Act; Secs.
bia.
1202, 2201, and 2203, Title
22, D.C.

Colorado..
Jan. 20, 1964
Middle District of Sept. 10, 1963
Florida.

Northern District May 29, 1962
of Illinois.

Sec. 17 (a), 1933 Act and Sec.
1341, Title 18, U.S.C.
Secs. 10(b), and 17(a), and

Rules 10b-5, 17a-3 and
17a-4, 1934 Act.
Secs. 5(c), 17(a), 1933 Act;
Sec. 1341, Title 18, U.S.C.

July 26, 1962 Secs. 5(a), 17(a), 1933 Act;
Sec. 371, Title 18, U.S.C.

Dec. 11, 1963 Sec. 17(a), 1933 Act; Sec.
1341, Title 18, U.S.C. and
Sec. 371, Title 18, U.S.C.
July 10, 1962 Secs. 5(a) and 17(a), 1933
Act; Secs. 9(a) (2) and 32,
1934 Act; Sec. 371, Title 18,
U.S.C.

Petroleum Corp.).

Apr. 26, 1961

Sec. 371 and Sec. 2 Title 18,
U.S.C. Secs. 5(a) (1), (17a)
and 24, 1933 Act.
Sec. 17(a), 1933 Act; Sec.
1341, Title 18, U.S.C. and
Sec. 371, Title 18, U.S.C.
Secs. 5(a), 5(a)(1), and 17(a),
1933 Act; Secs. 2, 371 and
1341, Title 18, U.S.C.

to 4 years in prison June 1963. Remaining 2 counts dismissed. Appeall
filed Sept. 17, 1963. Opinion rendered affirming the judgment of the
district court. Petition for writ of certiorari filed.

One defendant sentenced 20 months to 5 years imprisonment on violations
of the anti-fraud provisions of 1933 Act and 9 counts of embezzlement.
Sentences to run concurrently. Remaining defendant fined $1,000 for
violations of 1933 Act and $500 for violations of embezzlement under
D.C. Code. Pending appeal.
Pending.

Defendant received 18-month prison sentence upon his plea of guilty to
one count of the indictment.

Defendant found guilty and was sentenced to 2 years and fined $1,000.
Sentence suspended and defendant placed on probation for a period of
2 years. Pending possible appeal.
Indictment dismissed.

Pending.

Two defendants acquitted; one defendant sentenced to 18 months in prison
and fined $14,100. An additional 5-year suspended sentence to run
consecutively was imposed. Appeal filed.

One defendant pleaded guilty on 2 Sec. 17(a) counts; sentenced to 1 year
on each count to run concurrently; execution suspended and placed on
probation for 3 years following present incarceration on a mail fraud con-
viction; indictment dismissed as to two defendants. On plea of nolo
contendere remaining defendant sentenced to 6 months imprisonment,
suspended and placed on probation,

Sec. 17(a), 1933 Act; and

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

DU.S.C.

Pending.

Eight defendants found guilty and received sentences ranging from 30 days
to 30 months; two defendants fined $5,000 each; three defendants ac-
quitted. Appeal filed by two defendants and affirmed by CA-9.
do..
Closed.
Secs. 17(a) and 24, 1933 Act. Pending.

Swanson, Glenn G..

2

Miller, Howard S..

6

Plea of guilty to all charges entered by defendant. Sentenced to 5 years imprisonment.

Pending.

Do.

Fourteen defendants pleaded guilty and four defendants pleaded nolo con-
tendere; received sentences ranging from 3 months to 3 years. Other
sentences suspended and defendants placed on probation and two de-
fendants fined $400. Indictment dismissed as to two defendants. Pend-
ing as to remaining eight defendants.
Pending.

Do.

Five defendants convicted by jury on Apr. 12, 1962, on 9 counts of the
11-count indictment; sentenced to serve 2 years on each count to run con-
secutively, or a total of 18 years as to each defendant. Notices of appeal
filed by five defendants. Opinion rendered affirming the convictions of
appellants. Writ of certiorari filed and denied. Remaining defendant
dismissed.
One defendant pleaded guilty, sentenced to 5 years in prison and fined
$25,000; another defendant placed on probation for 2 years and fined
$2,000. The remaining defendant was fined $5,000.

On plea of guilty defendant was sentenced to 1 year and 1 day suspended
and placed on probation.

Order entered dismissing one defendant Nov. 8, 1961. One defendant
pleaded guilty to count 14 charging violation of Sec. 5(a) (2) of 1933 Act and
sentenced to 1 year imprisonment, execution suspended and placed on
probation for 2 years and fined $200 to stand committed until paid. Pend-
ing as to the remaining 20 defendants.

Three defendants received sentences of 3 years of which 6 months were to be
served in prison with remaining 2 years suspended and fined $15,000;
one defendant given a suspended sentence of 3 years and fined $15,000;
one defendant received a suspended sentence of 1 year and placed on
probation for 3 years. One defendant acquitted. Appeal filed. Pending.

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

Name of principal defendant

Number
of de-
fendants

U.S. District
Court

Indictment
returned

Charges

Status of case

Northern District Mar. 28, 1963

Sec. 17(a), 1933 Act; Sec. 1341

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

July 3, 1962 Secs. 5(a)(1), 5(a)(2), 17(a)

and 17(b), 1933 Act.
Sec. 17(a) (2), 1933 Act; Sec.
9(a) (2), 1934 Act; Sec. 371,
Title 18, U.S.C.
Jan. 26, 1960 Sec. 371, Title 18, U.S.C.....

One defendant deceased; other defendants awaiting trial. Pending.

of Illinois.

July 9, 1963

Sec. 17(a), 1933 Act and Sec. Pending.

Nov. 5, 1963 Sec. 1001, Title 18, U.S.C... Defendant deceased. Indictment dismissed,

371, Title 18, U.S.C.

On plea of guilty defendant placed on probation for 2 years on 1 count of indictment. Closed.

One defendant on nolo contendere plea fined $7,500, given suspended sen-
tence and placed on probation for a period of 5 years; two defendants on
pleas of guilty sentenced to 1 year and placed on probation for 5 years and
fined $10,000 each. Remaining defendant sentenced to serve 2
prison and fined $10,000.

Closed.

years in

1341, Title 18, U.S.C.

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

Do.

...do.

Secs. 2, 1341, 1343 and 2314,
Title 18, U.S.C.

Do.

4

.do.

...do.

Sec. 5(a)(2), 1933 Act; Secs.

Tellier, Walter F.

1

Eastern District

Apr. 26, 1956

Aug. 3, 1956

On pleas of nolo contendere 2 defendants sentenced to fines of $500 and $5,000.
One defendant on plea of guilty sentenced to fine of $11,000 on 2 counts of
indictment. Two defendants dismissed. Pending as to remaining two
defendants.

Sec. 1621, Title 18, U.S.C. Pending. do.

Sec. 17(a), 1933 Act and
Sec. 1341 Title, 18, U.S.C.
Mar. 24, 1960 Secs. 5(a) (1) and (2), 5(c),
17 and 24, 1933 Act; Secs.
2 and 1341, Title 18,
U.S.C.

Defendant convicted on 4 counts of the indictment; sentencing deferred.
Opinion and order entered vacating conviction and granting a new trial.
Defendant convicted on state action and sentenced from 1 to 10 years.
One defendant deceased and one defendant acquitted. Pending as to the
remaining defendant.

Three defendants entered pleas of guilty; four defendants on pleas of guilty
were sentenced to prison terms ranging from 15 months to 3 years and
fines ranging from $15,000 to $50,000; three defendants received prison
terms ranging from 18 months to 3 years and fined $25,000 each; one
defendant placed on 5 years probation and fined $25,000; indictment
dismissed as to three defendants. One defendant found guilty and
sentence deferred. Three defendants appealed Apr. 30, 1964. Pending.
Both defendants dismissed. alt poc ambongan dug blog of
On plea of guilty defendant was placed on probation for 5 years.
Pending.

Defendant was sentenced to 3 years on his plea of guilty to 3 counts of the indictment.

May 20, 1964 Sec. 17(a), 1933 Act; Sec. Pending.