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TABLE 16.-Indictments returned for violation of the acts administered by the Commission, the Mail Fraud Statute (Sec. 1941, 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

Number

of defendants

U.S. District

Court

Indictment
returned

Charges

Status of case

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Eastern District 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 of Missouri.

1933 Act.

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.
District of Colum- May 21, 1963 Sec. 17(a), 1933 Act; Secs. One defendant sentenced 20 months to 5 years imprisonment on violations
bia.

1202, 2201, and 2203, Title of the anti-fraud provisions of 1933 Act and 9 counts of embezzlement.
22, D.C.

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.
Colorado

Jan. 20, 1964 Sec. 17(a), 1933 Act and Sec. Pending.

1341, Title 18, U.S.C. Middle District of Sept. 10, 1963 Secs. 10(b), and 17(a), and Defendant received 18-month prison sentence upon his plea of guilty to Florida.

Rules 10b-5, 17a-3 and one count of the indictment.

178-4, 1934 Act.
Northern District May 29, 1962 Secs. 5(c), 17(a), 1933 Act; Defendant found guilty and was sentenced to 2 years and fined $1,000.
of Illinois.

Sec. 1341, Title 18, U.S.C. Sentence suspended and defendant placed on probation for a period of

2 years. Pending possible appeal.
Massachusetts July 26, 1962 Secs. 5(a), 17(a), 1933 Act; Indictment dismissed.

Sec. 371, Title 18, U.S.C.
Utah.

Dec. 11, 1963 Sec. 17(a), 1933 Act; Sec. Pending.

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

Sec. 371, Title 18, U.S.C.
Southern District July 10, 1962 Secs. 5(a) and 17(a), 1933 Two defendants acquitted; one defendant sentenced to 18 months in prison
of Texas.

Act; Secs. 9(a)(2) and 32, and fined $14,100. An additional 5-year suspended sentence to run
1934 Act; Sec. 371, Title 18, consecutively was imposed. Appeal filed.

U.S.O.
Southern District Aug. 9, 1963 Sec. 371 and Sec. 2 Title 18, Pending.
of New York.

U.S.C. Secs. 5(a) (1), (178)

and 24, 1933 Act.
Southern District | Feb. 26, 1964 Sec. 17(a), 1933 Act; Sec. Do.
of Florida.

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

Sec. 371, Title 18, U.S.C. Southern District Apr. 26, 1961 Secs. 5(a), 5(a)(1), and 17(a), One defendant pleaded guilty on 2 Sec. 17(a) counts; sentenced to 1 year of California.

1933 Act; Secs. 2, 371 and on each count to run concurrently; execution suspended and placed on 1341, Title 18, U.S.C. probation for 3 years following present incarceration on a mail fraud con

viction; indictment dismissed as to two defendants. On ples of nolo contendere remaining defendant sentenced to 6 months imprisonment, suspended and placed on probation,

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Name of principal

defendant

Little, James E.

Lombard, Earl J.

(Guardian Invest-
ment Corp.).

Lowell, Murphy & Co.,

Inc.
Malloy, Bernard

Charles.
Mann, Wayne M.

Matheson, Harry B.

(San Juan Petroleum

Corp.).
Maxfield, Reed R.

McDaniel, Paul E.

(Ambrosia Minerals,
Inc.).

McGuire, John A

McKee, Robert A.
(Commercial Capital

Corp.).
Mende, Milton Z.
(North American
Petroleum Corp.).

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Do.

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Do......

Do.
Peel, Jr., Joseph A.
(Insured Capital
Corp.).

1 Southern District Aug. 13, 1963 | Sec. 17(a), 1933 Act; and | Pending. of Illinois.

Sec. 1341, Title 18, U.S.C. 13 Eastern District Mar. 21, 1961 Sec. 17(a), 1933 Act; Secs. Eight defendants found guilty and received sentences ranging from 30 days of Washington.

371 and 1341, Title 18,

to 30 months; two defendants fined $5,000 each; three defendants ac-
U.S.C.

quitted. Appeal filed by two defendants and affirmed by CA-9.
2 -.do.

do.
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Closed.
6 Southern District Dec. 5, 1963 Secs. 17(a) and 24, 1933 Act. Pending.

of California.
1 .do..
Aug. 28, 1963 Sec. 17(a), 1933 Act.

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

imprisonment.
1 Northern District June 27, 1963 Secs. 5(a) and 17(a), 1933 Pending.
of Illinois.

Act; Sec. 1341, Title 18,

U.S.O.
1 Massachusetts Jan. 30, 1964 Sec. 1001, Title 18, U.S.C.,

and Sec. 17(a), 1933 Act.
28 New Hampshire June 16, 1960 Secs. 5(a)(1), 5(a)(2), 5(c) Fourteen defendants pleaded guilty and four defendants pleaded nolo con-

and 17(a) (1), 1933 Act; tendere; received sentences ranging from 3 months to 3 years. Other
Secs. 371 and 1341, Title sentences suspended and defendants placed on probation and two de-
18, U.S.C.

fendants fined $400. Indictment dismissed as to two defendants. Pend

ing as to remaining eight defendants.
16 Eastern District Apr. 27, 1954 Sec. 371, Title 18, U.S.C.

Pending.
of Michigan.
15

do. Sec. 1341, Title 18, U.S.C.
15
do..
do.. Sec. 17(a), 1933 Act..

Do.
15 do.
do. Sec. 15(a), 1934 Act

Do.
6 Southern District June 14, 1961 Sec. 17(a), 1933 Act; Secs. Five defendants convicted by jury on Apr. 12, 1962, on 9 counts of the
of Florida.

371 and 1341, Title 18, 11-count indictment; sentenced to serve 2 years on each count to run con-
U.S.C.

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.
Northern District July 13, 1962 Sec. 17(a), 1933 Act; Secs. One defendant pleaded guilty, sentenced to 5 years in prison and fined
of Texas.

10(b), 15(c)(1) and Rules $25,000; another defendant placed on probation for 2 years and fined
10b-5 and 15c1-4, 1934 Act; $2,000. The remaining defendant was fined $5,000.

Sec. 1341 Title 18, U.S.C.
1 Southern District Jan. 15, 1962 Secs. 2, 1001 and 1505, Title On plea of guilty defendant was sentenced to 1 year and 1 day suspended
of New York.

18, U.S.C.

and placed on probation. Connecticut May 10, 1961 Secs. 5(a)(1), 5(a)(2) and Order entered dismissing one defendant Nov. 8, 1961. One defendant 17(a), 1933 Act; Secs. 371 pleaded guilty

to count 14 charging violation

of Sec. 5(a) (2) of 1933 Act and
and 1341, Title 18, U.S.O. 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.
7 Southern District Apr. 2, 1962 Sec. 5(a)(1), 1933 Act; Secs. Three defendants received sentences of 3 years of which 6 months were to be
of New York.

2. 371, and 1001, Title 18, served in prison with remaining 243 years suspended and fined $15,000;
U.S.O.

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.

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3

Pennell, Truman

Kenneth
(Security Enter-

prises, Inc.).
Powell, Irwin Vincent
Powis, Francis Alger-
non Gaylord
(A. G. Powis & Co.,
Ltd.).

22

Re, Gerardo A.

(Re, Re and Sagarose, Swan. Finch Oil Corp.).

TABLE 16.--Indictments returned for violation of the acts administered by the Commission, the Mail Fraud Statute (Sec. 1841, 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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Nov. 8, 1962 Sec. 17(a), 1933 Act; Sec. Defendant pleaded guilty and was sentenced to 2 years imprisonment on 1341 Title 18, U.S.C.

all counts of the indictment to be served concurrently; suspended sentence

and placed on 5 years probation.
Feb. 1, 1963 Sec. 17(a), 1933 Act and Sec. Defendant on his plea of guilty was sentenced on June 18, 1963, to 2 years
1341 Title 18, U.S.C.

imprisonment on each of 3 counts of the indictment. Sentence suspended

and defendant placed on 5 years probation.
Aug. 5, 1963 Sec. 17(a), 1933 Act; Sec. 1341 On plea of guilty one defendant sentenced to 18 months in prison. Remain.

Title 18, U.S.C. and Sec. ing defendant deceased.

371 Title 18, U.S.C.
Mar. 28, 1963 Sec. 17(a), 1933 Act and Sec. Pending.

1341 Title 18, U.S.O.
July 3, 1962 Secs. 5(a)(1), 5(a)(2), 17(a)

Do.
and 17(b), 1933 Act.
June 28, 1957 Sec. 17(a) (2), 1933 Act; Sec. One defendant deceased; other defendants awaiting trial. Pending.

9(a)(2), 1934 Act; Sec. 371,

Title 18, U.S.O.
Jan. 26, 1960 Sec. 371, Title 18, U.S.C. Three defendants found guilty on 1 count of the indictment charging con-

spiracy to commit mail fraud; two defendants pleaded nolo contendere;

one defendant acquitted. Pending on appeal as to one defendant.
Dec. 11, 1958 Secs. 5(a)(1) and 17(a), 1933 One defendant deceased; two defendants are still fugitives and remaining

Act; Secs. 2, 371 and 1341, defendants awaiting trial. Pending.

Title 18, U.S.C.
Aug. 30, 1961 Sec. 17(a), 1933 Act; Sec. On plea of guilty defendant sentenced to 1 year and 1 day on count 1 of the
1341, Title 18, U.S.C. indictment and was sentenced to 3 years suspended sentence on remaining

counts.
Feb. 20, 1961 Sec. 17(a), 1933 Act; Sec. Defendant sentenced to 5 years imprisonment.

1341, Titlo 18, U.S.C.
June 14, 1963 Secs. 5(a)(1). 5(a)(2) and 24, Pending.

1933 Act; Sec. 371, Title 18,
U.S.C. and Sec. 1001, Title

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

Silver State Farms,

Inc. (Valley Farms,

Inc.).
South, Dudley,

Pritchett (William

Newman & Co.).
Spivey, Vernon M.

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Springer, Alan C.
(Arkansas Business

Development Corp.).
Steel, Herbert

Johannes.

1

Southern District

of New York,

Stefanich, Robert J.

(Isthmus Steamship

& Salvage Co., Inc.). Steffes, Leo V

1 Northern District

of Georgia. 2 Montana

July 9, 1963 Sec. 17(a), 1933 Act and Sec.

371, TMtle 18, U.S.C.

Pending,

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1 Northern District Jan. 22, 1964 Sec. 5(a)(2), 1933 Act. On plea of guilty defendant placed on probation for 2 years on 1 count of of California.

indictment. Western District Mar. 15, 1960 Secs. 9(a)(2) and 32(a), 1934 Closed. of Pennsylvania.

Act; Secs. 2, 371, 1001, 1341,
1343 and 2314, Title 18,

U.S.O.
Mar. 8, 1961

One defendant on nolo contendere plea fined $7,500, given suspended sen-
.do.

(Superseding |Sec. 371, Title 18, U.S.C. tence and placed on probation for a period of 6 years; two defendants on
indictment)

pleas of guilty sentenced to 1 year and placed on probation for 5 years and
fined $10,000 each. Remaining defendant sentenced to serve 24 years in

prison and fined $10,000. -..do.

Secs. 2, 1341, 1343 and 2314, Closed.

Title 18, U.S.C.
.do.
Sec. 5(a)(2), 1933 Act; Secs.

Do.
9(a) (2) and 32, 1934 Act;

Sec. 1001, Title 18, U.S.C.
1 Eastern District Apr. 26, 1956 Sec. 17(a), 1933 Act; Sec. Indictment dismissed.
of New York,

1341, Title 18, U.S.C. 7 -.do..

Aug. 3, 1956 Sec. 17(a), 1933 Act; Secs. On pleas of nolo contendere 2 defendants sentenced to fines of $500 and $5,000.

371 and 1341, Title 18, One defendant on plea of guilty sentenced to fine of $11,000 on 2 counts of
U.S.C.

indictment. Two defendants dismissed. Pending as to remaining two

defendants. 1 .do.

...do

Sec. 1621, Title 18, U.S.C. Pending. 1 Colorado Feb. 27, 1962

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.
3 Northern District Sept. 19, 1963 Sec. 17(a), 1933 Act and One defendant deceased and one defendant acquitted. Pending as to the
of Illinois.

Sec. 1341' Title, 18, U.S.C. remaining defendant.
20 Southern District Mar. 24, 1960 Secs. 5(a)(1) and (2), 5(c), Three defendants entered pleas of guilty; four defendants on pleas of guilty
of New York.

17 and 24, 1933 Act; Secs. were sentenced to prison terms ranging from 15 months to 3 years and
2 and 1341, Title 18, fines ranging from $15,000 to $50,000; three defendants received prison
U.S.C.

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.
2 ----do

June 16, 1960 Secs. 2 and 1001, Title 18, Both defendants dismissed.

U.S.C. 1 Montana.

July 9, 1963 Sec. 17(a), 1933 Act and Sec. On plea of guilty defendant was placed on probation for 5 years.

1341 Title 18, U.S.C.
4 Southern District Apr. 5, 1963 Sec. 371 Title 18, U.S.C.; Pending.
of New York.

Sec. 17(a) and Sec. 24, 1933
Act; Sec. 1341 and 2 Title

18, U.S.C.
1 Eastern District Feb. 15, 1963 Sec. 17(a), 1933 Act; Sec. Defendant was sentenced to 3 years on his plea of guilty to 3 counts of the
of Michigan. 10(b) and Rule 100-5, indictment.

1934 Act; and Sec. 1341, Title 18, U.S.C.

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

[blocks in formation]

Massachusetts. June 27, 1963 Sec. 17(a), 1933 Act.

Defendant sentenced to 1 year imprisonment; suspended and placed on

probation for 2 years.
- do
July 7, 1953 Sec. 17(a)(3), 1933 Act; Secs. Six defendants found guilty with sentences ranging from 1 to 2 years proba-

371 and 1341, Title 18, tion and fines of $1,000 to $5,000 imposed on said defendants. One de-
U.S.C.

fendant deceased. Dismissal as to three defendants. Pending as to one

defondant.
Arizona..

Oct. 25, 1963 Sec. 1343 Title 18, U.S.C. Pending.

and Sec. 5(a)(1), 1933 Act.
District of Colum- Feb. 10, 1964 Sec. 24, 1933 Act...

Do.
bia.
Southern District Apr. 17, 1963 Sec. 10(b) and Rule 10b-5, Defendant found guilty and placed on probation for a period of 3 years.
of Florida.

1934 Act.
Southern District July 20, 1961 Secs. 5(a)(1), 5(a)(2), 17(a) Four defendants pleaded guilty. Sentencing deferred. Pending as to 10
of New York.

and 24, 1933 Act; Secs. 2, defendants.
371 and 1341, Title 18,

U.S.C.
Western District May 20, 1964 Sec. 17(a), 1933 Act; Sec. Pending.
of Washington.

1341 Title 18, U.S.C. and
Sec. 371 Title 18, U.S.C.

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Name of principal

defendant

Wallach, Donald

Warner, J. Arthur &

Co., Inc.

Watkins, Horace

Elwin.
Wentland, Ernest

John.
Wilensky, Joseph J.
Winston & Co. Inc.,

J. A.

World Wide Auto

matic Archery, Inc.

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